Important Notice: Our web hosting provider recently started charging us for additional visits, which was unexpected. In response, we're seeking donations. Depending on the situation, we may explore different monetization options for our Community and Expert Contributors. It's crucial to provide more returns for their expertise and offer more Expert Validated Answers or AI Validated Answers. Learn more about our hosting issue here.

What is beneficial ownership by an access person of a SEC registered investment adviser for personal securities transaction purposes?

April 26, 2017adviser Beneficial Investment ownership person registered sec securities

0

Posted

What is beneficial ownership by an access person of a SEC registered investment adviser for personal securities transaction purposes?

1 Answer

0

Posted

For personal securities transaction purposes, an access person of an SEC registered investment adviser is presumed to be a beneficial owner of the securities that are held by his/her immediate family members sharing the access person’s household.