 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 72 lapas
..."Guaranteed" means guaranteed as to payment of principal, interest, or dividends. "Investment adviser" means any person who, for compensation, engages in...promulgates analyses or reports concerning securities. "Investment adviser" does not include (1) a bank, savings institution, or trust company; (2) a lawyer,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 68 lapas
..."Guaranteed" means guaranteed as to payment of principal, interest, or dividends. "Investment adviser" means any person who, for compensation, engages in...promulgates analyses or reports concerning securities. "Investment adviser" does not include (1) a bank, savings institution, or trust company; (2) a lawyer,... | |
 | Wisconsin - 1969 - 1682 lapas
..."Guaranteed" means guaranteed as to payment of principal, interest or dividends. (7) "Investment adviser" means any person who, for compensation, engages in...promulgates analyses or reports concerning securities. "Investment adviser" does not include: (a) A bank, savings institution or trust company; (b) A lawyer,... | |
 | United States. Congress. House. Committee on Banking and Currency - 1973 - 1208 lapas
...advisability of investing in, purchasing, or selling securities or "[(2)] who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities . . . ." In offering an automatic investment plan, particularly where a customer'* choice is limited... | |
 | United States. Congress. Senate. Government Operations Committee - 1974 - 1316 lapas
...Investment Advisers Act defines the term "adviser" to include any person "who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities." 15 USC § 80b-2(a)(ll) (1970). A person providing portfolio planning and evaluation services falls... | |
 | United States. Securities and Exchange Commission - 1974 - 36 lapas
...the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities; but does not include (A) a bank, or any bank holding company as defined in the Bank Holding Company... | |
 | United States. Congress. Senate. Committee on Government Operations - 1974 - 970 lapas
...Investment Advisers Act defines the term "adviser" to include any person "who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities." Ij USC § 80b-2(a)(l 1) (1970). A person providing portfolio planning and evaluation services falls... | |
 | United States. Congress. Senate. Agriculture and Forestry Committee - 1974 - 164 lapas
...and executions by floor brokers. 7 USC 6j. Trades by futures commission merchants. or profit, and as part of a regular business, issues or promulgates analyses or reports concerning commodities; but does not include (i) any bank or trust company, (ii) any newspaper reporter, newspaper... | |
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Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling... 
