Means any natural person who is neither: (a) registered or qualified in any capacity with the SEC, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (b) engaged as an "investment advisor" as that term is defined in Section 201 (11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that Act); nor, (c) employed by a bank or other organization exempt from registration under federal or state securities laws to perform functions that would require registration or qualification if such functions were performed for an organization not so exempt. See: PROFESSIONAL SUBSCRIBER.
Barry Goldsmith
| APA | Barry Goldsmith. (2010). NON-PROFESSIONAL SUBSCRIBER. Retrieved September 29, 2026, from http://smartdefine.org/non-professional_subscriber/definitions/1159219 |
| Chicago | Barry Goldsmith. 2010. "NON-PROFESSIONAL SUBSCRIBER" http://smartdefine.org/non-professional_subscriber/definitions/1159219 (accessed September 29, 2026). |
| Harvard | Barry Goldsmith 2010, NON-PROFESSIONAL SUBSCRIBER, Smart Define, viewed 29 September, 2026, <http://smartdefine.org/non-professional_subscriber/definitions/1159219>. |
| MLA | Barry Goldsmith. "NON-PROFESSIONAL SUBSCRIBER" 21 October 2010. Web. 29 September 2026. <http://smartdefine.org/non-professional_subscriber/definitions/1159219> |