http://fundontology.com/fr/rule/Rules_Investment_Adviser_Act.ttl#FinancialProhibitionRule
Class fr-rule-iaa:FinancialProhibitionRule


rdf:type
owl:Class
rdfs:comment
fro-leg-ref:hasCodeReference points to U.S. Code 80b3a Prohibitions and CFR 275.203A-2 Exemption from Prohibition
rdfs:label
Financial Prohibition Rule
rdfs:subClassOf
fr-rule-iaa:FinancialRule
skos:definition
Instances of this class apply a Legal Status for Prohibition from registering with the Securities and Exchange Commission as an Investment Adviser. The rules cover prohibition, based in Assets under Mnagement and excemptions from the prohibition. U.S. Code 80b3a Prohibitions and CFR 275.203A-2
Instances
fr-rule-iaa:FinRule_Prohibited_USC_80b-3a_a_1_A_state_regulated_small_adviser, fr-rule-iaa:FinRule_Prohibited_USC_80b-3a_a_2_B_mid-sized_adviser, fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_a_pension_consultant, fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_b_registered_company_adviser, fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_c_eligible_120_days, fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_d_multi_state, fr-rule-iaa:FinRule_Prohibition_Exempted_CFR_275_203_A_2_e_internet

References

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