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" Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling... "
Investment Trusts and Investment Companies: Hearings Before a Subcommittee ... - Página 87
por United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 145 páginas
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Official Gazette, Volume 84,Edições 27-29

Philippines - 1988 - 484 páginas
...delivery on or subject to the rules of any contract market, or (2) who for compensation or/profit, and as part of a regular business, issues or promulgates analyses or reports concerning commodities; except (a) any bank or trust company, (b) any journalist, reporter, columnist or editor,...
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Decisions and Reports, Volume 23

United States. Securities and Exchange Commission - 1953 - 824 páginas
...the advisability of Investing In, purchasing, or selling securities, or who, for compensation and as part of a regular business, Issues or promulgates analyses or reports concerning securities ; but does not Include (A) a bank, or any holding company affiliate, as defined In the Banking Act...
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Decisions and Reports, Volume 8

United States. Securities and Exchange Commission - 1941 - 1124 páginas
...the advisability of Investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, Issues or promulgates analyses or reports concerning securities; but does not Include (A) a bank, or any holding company affiliate, as defined In the Banking Act of...
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Investment Trusts and Investment Companies: Hearings Before a ..., Parte 3

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and Exchange - 1940 - 1190 páginas
...the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities: but does not include (A) a bank; (B) any lawyer, accountant, engineer, or teacher whose performance...
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Hearings, Reports and Prints of the Senate Committee on Banking ..., Partes 1-4

United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...to the advisability of investing in, Phasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities; but does ВД include (A) a bank: (B) any lawyer, accountant, engineer, or teacher whose .wrforiiiance...
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United States Code, Volume 2

United States - 1953 - 1692 páginas
...the advisability of investing in, purchasing, or selling securities, or who, for compensation and as mber, mineral deposits, but does not include (A) a bank, or any holding company affiliate, as defined in section 221a (c) of...
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United States Code, Volume 1

United States - 1994 - 1380 páginas
...leverage transaction authorized under section 23 of this title; or (ii) for compensation or profit, and as part of a regular business, issues or promulgates analyses or reports concerning any of the activities referred to in clause (i). (B) Exclusions Subject to subparagraph (C), the term...
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United States Code

United States - 1975 - 1680 páginas
...delivery on or subject to the rules of any contract market, or who for compensation or profit, and as part of a regular business, issues or promulgates analyses or reports concerning commodities ; but does not include (i) any bank or trust company, (ii) any newspaper reporter, newspaper...
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Decisions and Reports, Volume 10

United States. Securities and Exchange Commission - 1944 - 1290 páginas
...the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business. Issues or promulgates analyses or reports concerning securities; but does not Include (A) a bank, or any holding company affiliate, as denned in the Banking Act of...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1984 - 564 páginas
...the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities, but does not include a bank or any broker, lawyer, accountant, engineer or teacher whose performance...
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