Quick Definition

IA-1092 SEC Release refers to a specific regulatory guideline issued by the U.S. Securities and Exchange Commission (SEC) that defines the activities that qualify an individual or entity as an investment adviser.

Examples

• 1A financial consultant uses the IA-1092 SEC Release to determine if their advice on securities requires them to register as an investment adviser.
• 2An attorney specializing in securities law advises a client on compliance with IA-1092 to avoid regulatory penalties.
• 3A compliance officer at a brokerage firm reviews IA-1092 guidelines to ensure all advising activities meet SEC standards.

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