MLchartDataset catalogue

Investment adviser

Term · Law · MLC-T-LAW-002751

A person or firm that provides advice about securities for compensation. These individuals or entities must register with either the Securities and Exchange Commission (SEC) or state securities authorities, depending on the amount of assets under management. Their activities are governed by the Investment Advisers Act of 1940.

Table 1. Record
IdentifierMLC-T-LAW-002751
FieldLaw
Record as JSON 
{
  "id": "MLC-T-LAW-002751",
  "term": "Investment adviser",
  "field": "Law",
  "definition": "A person or firm that provides advice about securities for compensation. These individuals or entities must register with either the Securities and Exchange Commission (SEC) or state securities authorities, depending on the amount of assets under management. Their activities are governed by the Investment Advisers Act of 1940.",
  "url": "https://mlchart.com/terminology/law/investment-adviser/"
}

Record 2,680 of 5,445 in Law terminology (MLC-0107). Request the full dataset.