9 attachments of 1 January 26, 2010 Administering Compliance And Annual Reviews - Outline I. Investment Advisers Act Rule 206(4)-7 . (good Investment Advisers Act Section 206 #6)
Andand (and; unstressed ənd, ən, or, esp. after a homorganic consonant, n),USA pronunciation conj.
- (used to connect grammatically coordinate words, phrases, or clauses) along or together with;
as well as;
in addition to;
moreover: pens and pencils.
- added to;
plus: 2 and 2 are 4.
- then: He read for an hour and went to bed.
- also, at the same time: to sleep and dream.
- then again;
repeatedly: He coughed and coughed.
- (used to imply different qualities in things having the same name): There are bargains and bargains, so watch out.
- (used to introduce a sentence, implying continuation) also;
then: And then it happened.
- [Informal.]to (used between two finite verbs): Try and do it. Call and see if she's home yet.
- (used to introduce a consequence or conditional result): He felt sick and decided to lie down for a while. Say one more word about it and I'll scream.
on the contrary: He tried to run five miles and couldn't. They said they were about to leave and then stayed for two more hours.
- (used to connect alternatives): He felt that he was being forced to choose between his career and his family.
- (used to introduce a comment on the preceding clause): They don't like each other--and with good reason.
- [Archaic.]if: and you please.Cf. an2.
- and so forth, and the like;
et cetera: We discussed traveling, sightseeing, and so forth.
- and so on, and more things or others of a similar kind;
and the like: It was a summer filled with parties, picnics, and so on.
- an added condition, stipulation, detail, or particular: He accepted the job, no ands or buts about it.
- conjunction (def. 5b).
Reviewsre•view (ri vyo̅o̅′),USA pronunciation n.
- a critical article or report, as in a periodical, on a book, play, recital, or the like;
- the process of going over a subject again in study or recitation in order to fix it in the memory or summarize the facts.
- an exercise designed or intended for study of this kind.
- a general survey of something, esp. in words;
a report or account of something.
- an inspection or examination by viewing, esp. a formal inspection of any military or naval force, parade, or the like.
- a periodical publication containing articles on current events or affairs, books, art, etc.: a literary review.
- a judicial reexamination, as by a higher court, of the decision or proceedings in a case.
- a second or repeated view of something.
- a viewing of the past;
contemplation or consideration of past events, circumstances, or facts.
- [Bridge.]a recapitulation of the bids made by all players.
- to go over (lessons, studies, work, etc.) in review.
- to view, look at, or look over again.
- to inspect, esp. formally or officially: to review the troops.
- to survey mentally;
take a survey of: to review the situation.
- to discuss (a book, play, etc.) in a critical review;
write a critical report upon.
- to look back upon;
- to present a survey of in speech or writing.
- to reexamine judicially: a decision to review the case.
- [Bridge.]to repeat and summarize (all bids made by the players).
- to write reviews;
review books, movies, etc., as for a newspaper or periodical: He reviews for some small-town newspaper.
Investmentin•vest•ment (in vest′mənt),USA pronunciation n.
- the investing of money or capital in order to gain profitable returns, as interest, income, or appreciation in value.
- a particular instance or mode of investing.
- a thing invested in, as a business, a quantity of shares of stock, etc.
- something that is invested;
- the act or fact of investing or state of being invested, as with a garment.
- a devoting, using, or giving of time, talent, emotional energy, etc., as for a purpose or to achieve something: His investment in the project included more time than he cared to remember.
- any covering, coating, outer layer, or integument, as of an animal or vegetable.
- the act of investing with a quality, attribute, etc.
- investiture with an office, dignity, or right.
- a siege or blockade;
the surrounding of a place with military forces or works, as in besieging.
- Also called investment compound. a refractory material applied in a plastic state to a pattern to make a mold.
- [Archaic.]a garment or vestment.
Advisersad•vis•er (ad vī′zər),USA pronunciation n.
Also, ad•vi′sor. ad•vis′er•ship′, n.
- one who gives advice.
- a teacher responsible for advising students on academic matters.
- a fortuneteller.
Actact (akt),USA pronunciation n.
- anything done, being done, or to be done;
performance: a heroic act.
- the process of doing: caught in the act.
- a formal decision, law, or the like, by a legislature, ruler, court, or other authority;
decree or edict;
judgment, resolve, or award: an act of Congress.
- an instrument or document stating something done or transacted.
- one of the main divisions of a play or opera: the second act ofHamlet.
- a short performance by one or more entertainers, usually part of a variety show or radio or television program.
- the personnel of such a group: The act broke up after 30 years.
- false show;
feint: The politician's pious remarks were all an act.
- (in scholasticism)
- activity in process;
- the principle or power of operation.
- form as determining essence.
- a state of realization, as opposed to potentiality.
- clean up one's act, [Informal.]to begin adhering to more acceptable practices, rules of behavior, etc.: The factory must clean up its act and treat its employees better.
- get or have one's act together, [Informal.]to organize one's time, job, resources, etc., so as to function efficiently: The new administration is still getting its act together.
- to do something;
exert energy or force;
be employed or operative: He acted promptly in the emergency.
- to reach, make, or issue a decision on some matter: I am required to act before noon tomorrow.
- to operate or function in a particular way;
perform specific duties or functions: to act as manager.
- to produce an effect;
perform a function: The medicine failed to act.
- to behave or conduct oneself in a particular fashion: to act well under all conditions.
- to pretend;
feign: Act interested even if you're bored.
- to perform as an actor: He acted in three plays by Molière.
- to be capable of being performed: His plays don't act well.
- to serve or substitute (usually fol. by for): In my absence the assistant manager will act for me.
- to represent (a fictitious or historical character) with one's person: to act Macbeth.
- to feign;
counterfeit: to act outraged virtue.
- to behave as: He acted the fool.
- [Obs.]to actuate.
- act funny, to display eccentric or suspicious behavior.
- act on or upon:
- to act in accordance with;
follow: He acted on my advice.
- to have an effect on;
affect: The stirring music acted on the emotions of the audience.
- act one's age, to behave in a manner appropriate to one's maturity: We children enjoyed our uncle because he didn't always act his age.
- act out:
- to demonstrate or illustrate by pantomime or by words and gestures: The party guests acted out stories for one another.
- to give overt expression to (repressed emotions or impulses) without insightful understanding: The patients acted out early traumas by getting angry with the analyst.
- act up:
- to fail to function properly;
malfunction: The vacuum cleaner is acting up again.
- to behave willfully: The children always act up in school the day before a holiday.
- to become painful or troublesome, esp. after a period of improvement or remission: My arthritis is acting up again this morning.
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