Incidental Investment Advice Exemption

Investment Funds Advisers And Derivatives Update 02-23-2011
Interest trading advice is solely incidental to its business of providing securities or other investment advice to the exemption to acquire position levels equal to five times the spot-month limit if such positions are exclusively in cash- ... View Document

Preparing For Sweeping New CFTC Rules Affecting Hedge Funds
Must provide commodity interest trading advice solely incidental to its business of providing securities or other investment advice. To claim this exemption, an advisor must fi le a notice with the NFA no later than ... Get Doc

Tax Deduction For Private School - Questions From Readers
Are there any investment options that WOULD be tax free for use in paying for private school? and the cost of ordinary education furnished which is incidental to the special services furnished by the school. Gift Tax Exemption. ... Read Article

STATE-REG, BSLR-COMP 42,512, NEW YORK, Sec
Engineer or teacher whose performance of these services is solely incidental to the practice of a person who renders investment advice for compensation solely in the form of seminars attended grant an exemption from the requirement of filing the investment advisor statement ... Access This Document

Registration Reform In Canada - The Finish Line Is Here ...
The introduction of a harmonized exemption for general advice not unless providing that advice is incidental to its providing advice on a foreign non-Canadian advisers providing investment advice to an investment fund ... Return Doc

Certain Broker-Dealers Deemed Not To Be Investment Advisers
The SEC staff states that investment advice is solely incidental to the conduct of a broker-dealer’s business and to brokerage services when the an adviser unless another exemption from the registration requirements is available. In addition, a ... Fetch This Document

Dechert Comment Letter Regarding CFTC Proposed Rulemaking In ...
Exemption”); or (ii) trading advice is “solely incidental” to its securities advice or other investment advice to Rule 4.13(a)(3) or Rule 4.13(a)(4) funds, and provided further that it does not hold itself out as a CTA. ... Get Content Here

BY ELECTRONIC MAIL - U.S. Securities And Exchange Commission ...
Adequate precedent or logic in defining a solely incidental standard for investment advice offered by a broker. While we commend the SEC for predominantly to the exemption for attorneys, and for small investment advisers not engaged in ... Content Retrieval

#00800-Broker Dealer News
That investment advice is solely incidental to the conduct of a broker-dealer’s business and to brokerage services when the “advisory services unless another exemption from the registra-tion requirements is available. In addition, a ... Retrieve Full Source

Broker-Dealer Concepts
Accountants and certain other identified persons who provide investment advice incidental to other professional services The “Foreign Private Adviser Exemption” exempts an investment adviser that (1) has no place of business in ... Retrieve Full Source

BURTON L. RAIMI LAW OFFICES OF - MoneyLaw - Banking ...
Investment advisory services is solely incidental to the practice of Any person who renders investment advice exclusively to insurance or investment companies; whom the SEC grants an exemption from the general prohibition on SEC registration. ... View Doc

CTA EXEMPTION LETTER
CTA EXEMPTION LETTER Dorman Trading, L.L.C. Date: commodity trading advice is solely incidental to the conduct of its business as such an association or I am registered with the Securities and Exchange Commission as an investment adviser and my advice is ... Read Content

Testimony Of Barbara Roper Director Of Investor Protection ...
Investment advice to retail investors, ability to continue to rely on the “solely incidental” exemption from the Advisers Act. Indeed, when the Commission finally defined what was meant by “solely incidental” in 2005, it did so ... Fetch Here

Amendments To CFTC Rules For CPOs And CTAs
De Minimis Exemption. Rule 4.13(a)(3) exempts from registration CPOs of futures investment advice is incidental to their securities advice and is directed solely to (i) pools the CPOs of which have claimed the exclusion in Rule 4.5, (ii) ... Get Document

CPO Reg'd General Relief Who Qualifies - NFA - National ...
CFTC Part 4 Exemption Easy Reference Guide Exemption Type 4.5 4.7 4.12(b) 4.12(c) 4.13(a)(1) 4.13(a)(2) such under the Investment Company Act of 1940; an insurance company incidental to its securities advice and who does not otherwise ... Read Content

Investment Adviser Status Questions - PLI: Continuing Legal ...
Discretionary investment advice was not solely incidental to brokerage services.37 The original rule defined “investment discretion” to except discretion that is private investment adviser exemption to permit its use by any adviser, ... Retrieve Doc

Talk:University Of Phoenix/Archive 3 - Wikipedia, The Free ...
Just advice, take it or leave it :-) Tan | 39 18:49, 4 May 2008 The University also paid $3.5 million in back wages to 1,700 workers related to overtime pay and exemption status given to its recruitment advisers, under a settlement reached in July 2004 with the United States Department of Labor ... Read Article

Finance.idaho.gov
REGISTRATION AND EXEMPTION INFORMATION. All investment adviser representatives conducting "Investment adviser representative" does not include "an agent whose performance of investment advice is solely incidental to the individual acting as an agent who does not receive special ... Access Full Source

Regulation Of Financial Advice - QFA Board
(MIFID exemption only) • Persons providing an investment service in an incidental manner in the course of another professional activity – Activity is regulated – Activity does not exclude provision of investment service replaced the IoB's Certificate in Investment Advice, ... Get Doc