http://fundontology.com/fr/rule/Rules_Investment_Adviser_Act.ttl#FinancialProhibitionRule
Class 'fr-rule-iaa:Financial Prohibition Rule'


rdf:type
owl:Class
rdfs:comment
fro-leg-ref:hasCodeReference points to U.S. Code § 80b–3a Prohibitions and CFR 275.203A-2 Exemption from Prohibition
rdfs:label
Financial Prohibition Rule
rdfs:subClassOf
fr-rule-iaa:Financial Rule
skos:definition
Instances of this class apply a Legal Status for Prohibition from registering with the Securities and Exchange Commission as an Investment Adviser. The rules cover prohibition, based in Assets under Mnagement and excemptions from the prohibition. U.S. Code § 80b–3a Prohibitions and CFR 275.203A-2
Instances
fr-rule-iaa:Financial Rule Prohibited U.S. Code § 80b–3a (a) (1) (A) State Regulated small adviser, fr-rule-iaa:Financial Rule Prohibited U.S. Code § 80b–3a (a) (1) (B) State Regulated mid-size adviser, fr-rule-iaa:Financial Rule Prohibition Exempted CFR 275.203A-2 (a) Pension consultants, fr-rule-iaa:Financial Rule Prohibition Exempted CFR 275.203A-2 (b) Registered Company Adviser, fr-rule-iaa:Financial Rule Prohibition Exempted CFR 275.203A-2 (c) Eligible within 120 days, fr-rule-iaa:Financial Rule Prohibition Exempted CFR 275.203A-2 (d) Multi-state adviser, fr-rule-iaa:Financial Rule Prohibition Exempted CFR 275.203A-2 (e) Internet Adviser

References

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