SEC Release IA-1092

DEFINITION of 'SEC Release IA-1092'

A release from the Securities & Exchange Commission (SEC) that provides uniform interpretations of how state and federal advisor laws would apply to people providing financial services.

BREAKING DOWN 'SEC Release IA-1092'

SEC Release IA-1092 is the result of a 1987 collaboration between the federal and state "governors" of securities law: the Securities & Exchange Commission on the federal side and the North American Securities Administrators Association representing the states.

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  5. Federal covered securities are subject to which of the following requirements ... ...

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