Epstein Files Search

…Association (NASAA), an organization of state securities regulators, to address the applicability of the Advisers Act to investment advisers commonly known as "financial planners" (discussed in § 1:9).' In addition, Release 1092 provides guidance on the three elements of the investment adviser definition (see above), which are generally applicable to all advisers' A copy of Release 1092 appears at Appendix B5. An investment adviser can be either an individual or an entity (e.g., corporation, partnership, etc.). Likewise, under certain…