Is DeFi Within the Scope of Traditional Investment Advice? What are Smart Contracts?

(1) It shall be unlawful for any person to transact business in this state as a broker-dealer, issuer-dealer, or agent, except in certain transactions exempt ... 5. An investment adviser must be solvent. 6. If an investment adviser based in Kentucky has custody of client funds or securities, then the adviser shall ... 501, respectively, for the statute and rules governing state-registered investment advisers. ... Investment advisers located in Montana or utilizing a Montana ... Registered investment adviser ... A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the ... He leads a group which manages the company's worldwide financial and corporate risk, investment portfolio, strategic portfolio, foreign exchange, corporate and ... Apr 21, 2021 ... In order to keep up with the new challenges of investor ... investment advisers (IAs) and investment adviser representatives (IARs). No person shall transact business in the District as an investment adviser or as an investment adviser representative unless the person is licensed, or exempt ... Topics include definitions, characteristics of an investment adviser, regulators, application process, licensing periods, record keeping requirements. The definition of investment adviser in Rule 116.1 refers to a “person or company who, for compensation, … provides investment advice… .” Accordingly, so long ... Dec 11, 2023 ... All investment advisers reading this are likely to meet the definition of a reporting company, thereby, subjecting your business to the ...