Impersonal advisory services means investment advisory services provided solely through written materials or oral statements not purporting to meet the objectives or needs of the specific client, statistical information containing no expressions of opinion as to the investment merits of particular securities, or any combination of the foregoing.
Impersonal advisory services means investment advisory services provided solely by means of:
Impersonal advisory services means investment advisory services provided solely by means of written materials or oral statements which do not purport to meet the objectives or needs of the spe- cific client, statistical information containing no expressions of opinions as to the investment merits of particular securities, or any combination of the foregoing services.
Examples of Impersonal advisory services in a sentence
Impersonal advisory services include (1) general information or recommendations not tailored for a specific client, and 92) statistical information that does not make a recommendation regarding a particular security.
Impersonal advisory services would be defined in paragraph (b) of proposed rule 206(4)-5 as investment advisory services provided solely (1) by means of written material or oral statements that do not purport to meet the objectives or needs of specific individuals or accounts; (2) through the issuance of statistical information containing no expression of opinion as to the investment merits of a particular security; or (3) any combination of the foregoing services.
More Definitions of Impersonal advisory services
Impersonal advisory services means investment advisory services provided solely:
Impersonal advisory services means investment advisory services provided solely by means of (i) written materials or oral statements which do not pur- port to meet the objectives or needs of the specific client, (ii) statistical infor- mation containing no expressions of opinions as to the investment merits of particular securities, or (iii) any com- bination of the foregoing services.
Impersonal advisory services means investment advisory services provided solely by means of (i) written materials or oral statements which do not pur- port to meet the objectives or needs of the specific client, (ii) statistical infor- mation containing no expressions of opinions as to the investment merits of particular securities, or (iii) any com- bination of the foregoing services.(Secs. 204, 206, and 211 of the Advisers Act (15 U.S.C. 80b–4, 80b–6 and 80b–11(a)))[44 FR 42130, July 18, 1979; 54 FR 32441, Aug.8, 1989, as amended at 62 FR 28135, May 22,1997; 63 FR 39716, July 24, 1998] § 275.206(4)–4 Financial and discipli- nary information that investment advisers must disclose to clients.
Impersonal advisory services means any contract relating solely to the provision of investment advisory services under any of the following:
Impersonal advisory services means any contract relating solely to the provision of investment advisory services: (i) by means of written material or oral statements which do not purport to meet the need of specific individual accounts; (ii) through the issuance of statistical information containing no expression of opinion as to the investment merits of a particular security; or (iii) any combination of the foregoing services.
Impersonal advisory services means investment advi- sory services provided solely:
Impersonal advisory services means in- vestment advisory services provided solely by means of any of the following: