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APPENDIX C GLOSSARY OF TERMS 1. Advisory Affiliate: Your advisory affiliates are (1) all of your officers, partners, or directors (or any person performing similar functions); (2) all persons directly or indirectly contr
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Document Date: 2015-05-20 16:59:34

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Company

New York Stock Exchange / /

Country

Puerto Rico / United States / U.S. Virgin Islands / /

Currency

USD / /

IndustryTerm

real estate / investment advisory services / advisory services / bank / portfolio management / Web Central Registration Depository / banking / /

Organization

Global LEI Regulatory Oversight Committee / Global LEI Foundation / Discretionary Authority / Chicago Board of Trade / Private Fund / Securities Authority / Foreign Financial Regulatory Authority / Principal Office / U.S. Securities and Exchange Commission / Self-Regulatory Organization / FINRA / /

Position

adviser representatives / attorney / Relying Adviser / custodian / chief executive officer / chief financial officer / manager of the LLC / investment adviser representative / securities broker / public accountant / investment adviser / chief financial officer / chief / Independent Public Accountant / officer / chief legal officer / and chief compliance officer / independent contractor / filing adviser / Representative / Exempt Reporting Adviser / trustee / General / dealer / securities commissioner / investment adviser / broker-dealer / municipal securities dealer / officer / adviser / elected manager / /

ProvinceOrState

District of Columbia / /

SocialTag