Advisors Act definition

Advisors Act means the Investment Advisers Act of 1940, as amended, and the rules and regulations thereunder.
Sample 1Sample 2Sample 3
Advisors Act means Investment Advisors Act of 1940.
Sample 1

Examples of Advisors Act in a sentence

  • The Buyer is an investment advisor registered under the Investment Advisors Act of 1940.

  • Buyer is a business development company as defined in Section 202(a)(22) of the Investment Advisors Act of 1940.

  • The Buyer is an investment advisor registered under the Investment Advisors Act of 1940, as amended.

  • Buyer is a business development company as defined in Section 202(a)(22) of the Investment Advisors Act of 1940, as amended.

  • The Buyer is a business development company as defined in Section 202(a)(22) of the Investment Advisors Act of 1940.

  • The Purchaser is an investment advisor registered under the Investment Advisors Act of 1940.

  • The Purchaser is a business development company as defined in Section 202(a)(22) of the Investment Advisors Act of 1940.

  • Neither shall the Firm, HASL nor any Employee share in the profits or losses in any account of a customer carried by the Firm or HASL or any other FINRA member, except to the extent provided for by Rule 205-3 of the Investment Advisors Act of 1940 and/or NASD Rule 2330 and/or FINRA Rule 2150, as applicable.

  • As a result of recent legislative events, particularly the enactment of the Insider Trading and Securities Fraud Enforcement Act of 1988, the Securities Exchange Acts and the Investment Advisors Act of 1940 require that all investment advisors establish, maintain and enforce policies and supervisory procedures designed to prevent the misuse of material, non-public information by such investment advisor, and any associated person.

  • The Buyer is an investment advisor registered under the Investment Advisors Act of 1940.·Small Business Investment Company.

Related to Advisors Act

  • Advisers Act means the Investment Advisers Act of 1940, as amended.

  • Investment Advisers Act means the Investment Advisers Act of 1940.

  • Investment Company Act means the Investment Company Act of 1940, as amended.

  • Charities Act means the Charities Act 2011;

  • Foreign Corrupt Practices Act means the Foreign Corrupt Practices Act of the United States, 15 U.S.C. Sections 78a, 78m, 78dd-1, 78dd-2, 78dd-3, and 78ff, as amended, if applicable, or any similar law of the jurisdiction where the Property is located or where the Company or any of its Subsidiaries transacts business or any other jurisdiction, if applicable.

  • the 2007 Act means the Local Government and Public Involvement in Health Act 2007;