词汇：adviser
n. 顾问；劝告者；指导教师（等于advisor）
相关场景
Note: "laws" include, without limitation, section 17(a)(1) of the Securities Act of 1933 (15 U.S.C. 77q(a)(1)), section 10(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78j(b)) and 17 CFR 240.10b-5, section 15(c)(1) of the Securities Exchange Act of 1934 (15 U.S.C. 78o(c)(1)) and section 206(1) of the Investment Advisers Act of 1940 (15 U.S.C. 80b-6(1)), or any other rule or regulation thereunder.M. Are you subject to any order of the SEC, entered within the last 5 years, that ordered you to cease and desist from committing or causing a violation or future violation of:(1) Any scienter-based anti-fraud provision of the federal securities laws? (Required)
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注：“法律”包括但不限于1933年《证券法》第17（a）（1）条（《美国法典》第15编第77q（a）条（1）款）、1934年《证券交易法》第10（b）节（《美国联邦法规》第15卷第78j（b）条）和《美国联邦法典》第17编第240.10b-5条、1934年“证券交易法”第15（C）（1。M.您是否受到美国证券交易委员会在过去5年内发布的任何命令的约束，这些命令命令要求您停止并不再违反或造成违反或未来违反：（1）联邦证券法中任何基于科学的反欺诈规定？（必填）
Note: Includes orders entered pursuant to section 15(b) or 15B(c) of the Securities Exchange Act of 1934 (15 U.S.C. 78o(b) or 78o-4(c)) or section 203(e) or (f) of the Investment Advisers Act of 1940 (15 U.S.C. 80b-3(e) or (f)).L. Are you subject to an order of the SEC that:(1) suspends or revokes any person’s registration as a broker, dealer, municipal securities dealer or investment adviser? (Required)
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注：包括根据1934年《证券交易法》第15（b）或15B（c）条（《美国法典》第15编第78o（b）和78o-4（c）节）或1940年《投资顾问法》第203（e）或（f）条。L.您是否受制于美国证券交易委员会的命令：（1）暂停或撤销任何人作为经纪人、交易商、市政证券交易商或投资顾问的注册？（必填）
(3) arising out of the conduct of the business of an underwriter, broker, dealer, municipal securities dealer, investment adviser or paid solicitor of purchasers of securities? (Required)
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（3） 因证券购买者的承销商、经纪人、交易商、市政证券交易商、投资顾问或付费律师的业务行为而产生的？（必填）
Are any of the business activities investment-related (i.e., pertain to securities, commodities, banking, insurance, or real estate, including, but not limited to, acting as or being associated with a broker-dealer, issuer, investment company, investment adviser, futures sponsor, bank or savings association?) (Required)
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是否有任何商业活动与投资有关（即与证券、商品、银行、保险或房地产有关，包括但不限于担任经纪交易商、发行人、投资公司、投资顾问、期货保荐人、银行或储蓄协会或与之有关联？）（必填）
All information must be true and complete to the best of your knowledge and belief, and all of your responses must be in ENGLISH (only where instructed use local language). No section or field should be left blank. You are required to answer each question, unless a question does not apply to you (e.g. question is for certain countries only, question is for currently employed person only), in which case insert "Not Applicable" or "NA" . All information provided in this form is subject to verification by WorldQuant, LLC (the “Firm”) and/or its agents, and any falsification, misrepresentation or omission of fact in this form, or during the engagement process, may be cause for denial or termination of your consulting agreement with the Firm. Responses to various questions contained in this questionnaire (including, without limitation, the questions set forth in the Regulatory Questions section) are required in connection with the Firm’s obligations under the U.S. Investment Advisers Act of 1940, as amended and the U.S. Securities Act of 1933, as amended.
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据您所知和所信，所有信息必须真实完整，您的所有回复必须使用英语（仅在有指示的情况下使用当地语言）。任何部分或字段都不应留空。您需要回答每个问题，除非某个问题不适用于您（例如，该问题仅适用于某些国家，仅适用于当前在职人员），在这种情况下，请插入“不适用”或“NA”。本表格中提供的所有信息均须经WorldQuant，LLC（“公司”）和/或其代理人核实，本表格中或在聘用过程中对事实的任何伪造、虚假陈述或遗漏都可能导致您与公司的咨询协议被拒绝或终止。需要对本问卷中包含的各种问题（包括但不限于监管问题部分中提出的问题）作出回应，这些问题与公司在经修订的1940年《美国投资顾问法》和经修订的1933年《美国证券法》下的义务有关。
136. 代理顾问建议校订者想出一个根除恶习的计策。