Registered Investment Adviser. A Person duly registered as an investment adviser in accordance with and pursuant to Section 203 of the Investment Advisers Act of 1940, as amended.
Registered Investment Adviser means a Person duly registered as an investment adviser (including by being identified as a “relying adviser” in Section 1.B., Schedule D of its related “filing adviser’s” Form ADV) in accordance with and pursuant to Section 203 of the Investment Advisers Act of 1940, as amended.
Registered Investment Adviser means an investment adviser who has been issued a registration certificate by the Commissioner under Section 15 of this Act.
Examples of Registered Investment Adviser in a sentence
Securities and investment advisory services offered through National Planning Corporation (NPC), NPC of America in FL & NY, Member FINRA/SIPC, and a Registered Investment Adviser.
I agree these services do not constitute financial planning or investment advisory services as provided by a Registered Investment Adviser.
Madison Avenue Securities, LLC (“MAS”) is registered with the Securities and Exchange Commission as a Broker-Dealer and Registered Investment Adviser and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
As a Registered Investment Adviser, Galliard has a fiduciary responsibility to act prudently and in the best interests of our clients.
Halcyon Arbitrage IC Management LP, a subsidiary of HARB, is also a Registered Investment Adviser with the SEC.
More Definitions of Registered Investment Adviser
Registered Investment Adviser means any subsidiary (e.g. CTC Consulting, Inc.) or division of any subsidiary of U.S. Trust Corporation (e.g. U.S. Trust Asset Management Division) that is registered under the Investment Advisers Act of 1940.
Registered Investment Adviser means an investment adviser that is registered with the SEC pursuant to § 203(c) of the federalInvestment Advisers Act of 1940, as amended [15 U.S.C. § 80b-3(c)]. An agreement to provide investment advice (or the giving of investment advice) to a Participant or Beneficiary or Alternate Payee does not constitute a Registered Investment Adviser as an investment manager or investment advisor as to the Plan or any Master Trust.
Registered Investment Adviser means an investment advisor registered with the securities and exchange committee pursuant to the Investment Advisors Act of 1940.
Registered Investment Adviser means an Insured who meets the definition of investment adviser as defined in the Investment Advisers Act of 1940, as amended, and who is registered as required by law with either the Securities Exchange Commission (“SEC”) or the appropriate state authority.
Registered Investment Adviser. A Person duly registered as an investment adviser in accordance with and pursuant to Section 203 of the Investment Advisers Act of 1940, as amended. "Regulation S": Regulation S, as amended, under the Securities Act. "Regulation S Global Secured Note": The meaning specified in Section 2.2(b)(i) (Forms of Notes). "Regulation U": Regulation U of the Board of Governors of the Federal Reserve System of the United States as from time to time in effect and any successor to all or a portion thereof. "Reinvestment Period": The period from and including the 2024 Closing Date to and including the earliest of (i) the Payment Date in October 2028, (ii) the date of the acceleration of the Maturity of any Class of Secured Debt pursuant to Section 5.2 (Acceleration of Maturity; Rescission and Annulment) and (iii) the date on which the Collateral Manager notifies the Issuer, the Collateral Trustee (who shall notify the Holders of Notes), the Collateral Administrator and the Rating Agency that the Reinvestment Period has ended because it has reasonably determined that it can no longer reinvest in additional Collateral Obligations in accordance with this Indenture and the Collateral Management Agreement; provided, that in the case of clause (ii), if such acceleration is later withdrawn in accordance with Section 5.2 (Acceleration of Maturity; Rescission and Annulment) and the Reinvestment Period would not otherwise have ended as a result of clauses (i) or (iii), then the Reinvestment Period shall include the period from such date to and including the earliest of clauses (i) through (iii) above to occur after such date. "Reinvestment Target Par Balance": As of any date of determination, the Target Initial Par Amount minus (i) the amount of any reduction in the Aggregate Outstanding Amount
Registered Investment Adviser means Digit Advisors, LLC.
Registered Investment Adviser means a licensed professional, including an individual, corporation, partnership or LLC, who meets the definition of Investment Adviser as defined in the Investment Advisers Act of 1940, as amended, and who is duly registered with either the Securities Exchange Commission (“SEC”) or the appropriate state or self securities regulatory agency.