Rhode Island Agreement for Services of Investment Adviser between Insurance Company and Investment Adviser
Category:
State:
Multi-State
Control #:
US-1341036BG
Format:
Word;
Rich Text
Instant download
Description
An investment adviser (also known as a stock broker) is any person or group that makes investment recommendations or conducts securities analysis in return for a fee, whether through direct management of clients' assets or by way of written publications. The precise definition of the term was established through the Investment Advisers Act of 1940.
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