Collective investment account means any hedge fund, investment partnership, investment corporation, or any other collective investment vehicle that is engaged primarily in the purchase and/or sale of securities. A "collective investment account" does not include a "family investment vehicle" or an "investment club."
Collective investment account. ’ means any hedge fund, investment partnership, investment corporation, or any other collective investment vehicle that manages assets of other persons. Collective investment account shall not include any entity in which the decision
Collective investment account means any hedge fund, investment partnership, investment corporation, or any other collective investment vehicle that is engaged primarily in the purchase and/or sale of securities. A collective investment account does not include a legal entity that is beneficially owned solely by immediate family members (a “family investment vehicle”) or a group of friends, neighbors, business associates, or others that pool their money to invest in stock or other securities and are collectively responsible for making investment decisions (an “investment club”).
More Definitions of Collective investment account
Collective investment account means a hedge fund, investment partnership, investment corporation, or any other collective investment vehicle that is engaged primarily in the purchase and/or sale of securities. A collective investment account does not include a “family investment vehicle,” which means a legal entity that is beneficially owned solely by immediate family members, or an “investment club,” which means a group of friends, neighbors, business associates, or others who pool their money to invest in stock or other securities and are collectively responsible for making investment decisions.
Collective investment account means any hedge fund, investment partnership,
Collective investment account. ’ means any hedge fund, investment partnership, investment corporation, or any other collective investment vehicle [that manages assets of other persons. Collective investment account shall not include any entity in which the decision to buy or sell securities is made jointly by each of the persons investing in the entity or by a member of their immediate family.].
Collective investment account means any hedge fund, investment partnership, investment corporation, or any other collective investment vehicle that is
Collective investment account means any hedge fund, investment partnership, investment corporation, or any other collective investment vehicle that is engaged primarily in the purchase and/or sale of securities. A collective investment account does not include a legal entity that is beneficially owned solely by immediate family members (a “family investment vehicle”) or a group of friends, neighbors, business associates, or others that pool their money to invest in stock or other securities and are collectively responsible for making investment decisions (an “investment club”). 7 Form BD means Uniform Application for Broker-Dealer Registration. Schedule A of a Form BD provides information on the direct owners and executive officers of the applicant.
Collective investment account means any hedge fund, investment partnership, investment corporation, or any other collective investment vehicle that is engaged primarily in the purchase and/or sale of securities. The term does not include an investment club where a group of individuals pool their money and are collectively responsible for investment decisions, or a family investment vehicle owned solely by immediate family members.
Collective investment account means any hedge fund, investment partnership, investment corporation, or any other collective investment vehicle that is engaged primarily in the purchase and/or sale of securities. “Collective investment account” does not include a legal entity that is beneficially owned solely by any combination of one or more of the following persons: (i) “immediate family members” as defined under FINRA Rule 5130(i)(5); (ii) “family members” as defined under Advisers Act Rule 202(a)(11)(G)-1; or (iii) “family clients” as defined under Advisers Act Rule 202(a)(11)(G)-1 (i.e. a “family investment vehicle”). “Collective investment account” also does not include a legal entity that is beneficially owned by a group of friends, neighbours, business associates, or others that pool their money to invest in stock or other securities and are collectively responsible for making investment decisions (i.e., an “investment club”). 14 Form BD is the form used to register with the U.S. Securities and Exchange Commission as a broker/dealer. Schedule B relates to an ownership interest in a person listed on Schedule A identified by an ownership code of less than 10 per cent,
(c) is listed, or required to be listed, in Schedule C of a Form BD, which person meets the criteria described in (a) or (b) above,
(d) directly or indirectly owns 10 per cent or more of a public reporting company listed, or required to be listed, in Schedule A of a Form BD (other than a reporting company that is listed on a national securities exchange or is traded on the Nasdaq National Market or other than with respect to a limited business broker/dealer),
(e) directly or indirectly owns 25 per cent or more of a public reporting company listed, or required to be listed, in Schedule B of a Form BD (other than a reporting company that is listed on a national securities exchange or is traded on the Nasdaq National Market or other than with respect to a limited business broker/dealer), or,
(f) is an immediate family member of a person specified in any of items (a) through