Registered investment adviser


 

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Registered investment adviser

SEC-registered individual or firm that substantiates completion of education and work experience in the field, and pays an annual membership fee.



Registered investment adviser

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Registered trader

Registered trader

A member of the exchange who executes frequent trades for his or her own account.


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Registered investment company

An investment firm which is registered with the SEC and complies with certain stated legal requirements.


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A check issued and guaranteed by a bank for a customer who provides funds for payment of the check.


Registered equity market maker

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Member firm of the American Stock Exchange registered as a trader to make stabilizing trades for its own account in particular securities.


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Registered company

A company that is listed with the SEC after submission of a required statement and compliance with disclosure requirements.


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