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.


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.

  1. Securities And Exchange Commission ...

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

    A voluntary organization, established in 1919, of securities ...
  3. National Association Of Securities ...

    The NASD was a self-regulatory organization of the securities ...
  4. Investment Advisor

    As defined by the Investment Advisors Act of 1940, any person ...
  5. Maintenance Margin

    The minimum amount of equity that must be maintained in a margin ...
  6. Corporate Social Responsibility

    Corporate initiative to assess and take responsibility for the ...
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