Exemption from registration

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..... nts in good faith in regard to trends in the financial or securities market or the economic situation where such comments do not specify any particular securities or investment product; (b) Any insurance agent or insurance broker who offers investment advice solely in insurance products and is registered with Insurance Regulatory and Development Authority for such activity; (c) Any pension adv .....

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..... the Board, who provides investment advice to their clients, incidental to his professional service; (g) Any stock broker or sub-broker registered under SEBI (Stock Broker and Sub- Broker) Regulations, 1992, portfolio manager registered under SEBI (Portfolio Managers) Regulations, 1993 or merchant banker registered under SEBI (Merchant Bankers) Regulations, 1992, who provides any investment advic .....

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..... he purview of these regulations; (j) Any 1[principal officer, persons associated with advice] and partner of an investment adviser which is registered under these regulations: Provided that such 1[principal officer, persons associated with advice] and partner shall comply with regulation 7 of these regulations; (k) Any other person as may be specified by the Board. ************* NOTES:- 1 .....

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