Knowledge Base

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


Search Knowledge Base by Keyword

Created On
byRCC
< Back

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.

Unless otherwise indicated, all materials on these pages are copyrighted by RIA Compliance Consultants, Inc. All rights reserved. No part of this Sample Form, slides, webinar, either text, image, or audio may be used for any purpose other than personal use. Reproduction, modification, storage in a retrieval system or retransmission, in any form or by any means, electronic, mechanical or otherwise, for reasons other than personal use, is strictly prohibited without prior written permission.