Securities Professional FAQ |
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According to US markets' definition, you are considered a Securities Professional if you are:
1. Registered with any state, federal or international securities agency or self-regulatory body;
2. Engaged as an Investment Advisor;
"Investment advisor" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities;
3. Employed by an organization that is exempt from US securities laws that would otherwise require registration; or
4. A business or commercial entity
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