SEC Release IA-1092
A release from the Securities & Exchange Commission (SEC) that provides uniform interpretations of how state and federal advisor laws would apply to people providing financial services.

Investopedia Says:
SEC Release IA-1092 is the result of a 1987 collaboration between the federal and state "governors" of securities law: the Securities & Exchange Commission on the federal side and the North American Securities Administrators Association representing the states.

Related Terms:
Investment Advisor
National Association of Securities Dealers - NASD
North American Securities Administrators Association - NASAA
Securities & Exchange Commission - SEC

• Open Rotation
• Operating Cash Flow Demand (OCFD)
• Operating Cash Flow Demand (OCFD)
• Operating Cash Flow (OCF)
• Operating Cash Flow (OCF)
• Operating Cash Flow Ratio
• Operating Earnings
• Operating Expense
• Operating Expense
• Operating Income
• Operating Income Before Depreciation And Amortization (OIBDA)
• Operating Income Before Depreciation And Amortization (OIBDA)
• Operating Lease
• Operating Leverage
• Operating Margin
• Operating Netback
• Operating Profit
• Operating Ratio
• Operational Efficiency
• Operational Risk
• Opinion Shopping
• Opportunity Cost
• Optimization
• Optimized Portfolio as Listed Securities (OPALS)
• Optimized Portfolio as Listed Securities (OPALS)