This term includes (1) a foreign securities authority; (2) another governmental body or foreign equivalent of a self-regulatory organization empowered…
Any derivative whose underlying asset is a currency other than U.S. dollars or is an exchange rate. Cross-currency interest rate…
The Web Central Registration Depository (“CRD”) system operated by FINRA for the registration of broker-dealers and broker-dealer representatives. [Used in:…
An investment adviser eligible to register with the SEC that files (and amends) a single umbrella registration on behalf of…
For jurisdictions that do not differentiate between a felony and a misdemeanor, a felony is an offense punishable by a…
An investment adviser that qualifies for the exemption from registration under section 203(l) of the Advisers Act because it is…
Includes both listed equity derivative and derivative exposure to unlisted securities. Listed equity derivative includes all synthetic or derivative exposure…
This term includes being subject to a mandatory injunction, prohibitory injunction, preliminary injunction, or a temporary restraining order. [Used in:…
This term includes an independent contractor who performs advisory functions on your behalf. [Used in: Part 1A, Instructions, Items 1,…
Your firm has discretionary authority or manages assets on a discretionary basis if it has the authority to decide which…