 |
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.
|
Search results for 'SEC Release IA-1092'
-
http://www.investopedia.com/exam-guide/series-65/investment-advisor-registration/sec-releases-770-1092.asp
... Feedback Feedback. Regulation of Investment Advisors - SEC Investment Adviser Releases
IA 770 & 1092. ... The complete IA 1092 release can be viewed here. ...
|
|
