SEC Release IA-1092

AAA

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.

INVESTOPEDIA EXPLAINS '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.

RELATED TERMS
  1. Investment Advisor

    As defined by the Investment Advisors Act of 1940, any person ...
  2. National Association Of Securities ...

    The NASD was a self-regulatory organization of the securities ...
  3. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  4. North American Securities Administrators ...

    A voluntary organization, established in 1919, of securities ...
  5. Licensed For Reinsurance Only

    A license that allows a company to engage in services related ...
  6. Plant Patent

    An intellectual property right that protects a new and unique ...
Related Articles
  1. Uncovering The Securities Firm
    Brokers

    Uncovering The Securities Firm

  2. 4 Dishonest Broker Tactics And How To ...
    Personal Finance

    4 Dishonest Broker Tactics And How To ...

  3. Policing The Securities Market: An Overview ...
    Investing Basics

    Policing The Securities Market: An Overview ...

  4. How to Register Your Trademark
    Investing

    How to Register Your Trademark

Hot Definitions
  1. Gross Rate Of Return

    The total rate of return on an investment before the deduction of any fees or expenses. The gross rate of return is quoted ...
  2. Debit Spread

    Two options with different market prices that an investor trades on the same underlying security. The higher priced option ...
  3. Leading Indicator

    A measurable economic factor that changes before the economy starts to follow a particular pattern or trend. Leading indicators ...
  4. Wage-Price Spiral

    A macroeconomic theory to explain the cause-and-effect relationship between rising wages and rising prices, or inflation. ...
  5. Accelerated Depreciation

    Any method of depreciation used for accounting or income tax purposes that allows greater deductions in the earlier years ...
  6. Call Risk

    The risk, faced by a holder of a callable bond, that a bond issuer will take advantage of the callable bond feature and redeem ...
Trading Center