Term
| Minimum offering price permitted under registration by notification |
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Definition
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Term
| Exclusion under the brochure rule granted |
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Definition
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Term
| Threshold for providing balance sheet under ADV II$500 (pre-paid fees) |
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Definition
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Term
| Threshold for reporting wire transfers under the Bank Secrecy Act |
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Definition
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Term
| Maximum criminal fine under the USA |
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Definition
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Term
| Threshold for filing a CTR for cash transactions above $10,000 under the Bank Secrecy Act |
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Definition
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Term
| Minimum net worth requirement for advisers who do not have custody of client assets but maintain discretionary authority |
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Definition
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Term
| Minimum asset threshold for a surety bond wavier (USA) |
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Definition
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Term
| Minimum net worth requiremtn for advisers who have custody of client assets |
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Definition
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Term
| Minimum ssets for registered investment companies under the Investment Company Act |
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Definition
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Term
| The minum income for joint ivnestors to be considered accredited under a Regulation D exemption |
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Definition
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Term
| Minimum income for joint investors to be considered accredited under a Regulation D Exemption |
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Definition
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Term
| Minimum assets under management to meet the definition of a "qualified client" (charging of performance fees) |
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Definition
| $750,000 (high net worth clients = $1.5 million) |
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Term
| Minimum net worth for an accredited investor under a Regulation D exemption |
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Definition
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Term
| Penalty for insider trading ('34 Act) |
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Definition
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Term
| Penalty for insider trading ('34 Act) |
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Definition
| $25 million (Corporation) |
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Term
| Minimum net worth to meet the definition of a "qualified client" (Charging of performance fees) |
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Definition
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Term
| Below $25 million (assets) |
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Definition
| IA Subject to state registration |
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Term
| Between $25 to $30 million (assets) |
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Definition
| IA Subject to state registration |
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Term
| $30 million or greater (assets) |
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Definition
| Mandatory filing with SEC as a federally covered adviser |
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Term
| Minimum asset threshold for pension for pension consultants to fall under SEC jurisdiction |
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Definition
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