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Rule 20:08:05 INVESTMENT ADVISER RULES

CHAPTER 20:08:05

 

INVESTMENT ADVISER RULES

Section

20:08:05:01 thru 20:08:05:13Repealed.

20:08:05:14                                Investment adviser representative definitions.

20:08:05:15                                Application for investment adviser and investment adviser representative registration.

20:08:05:16                                Notice filing requirements for federal covered investment advisers.

20:08:05:17                                Electronic filing with designated entity.

20:08:05:18                                IARD transition rule.

20:08:05:19                                Withdrawal of investment adviser and investment adviser representative registration.

20:08:05:20                                Promptly remedied.

20:08:05:21                                Minimum financial requirements for investment advisers.

20:08:05:22                                Financial reporting requirements for investment advisers.

20:08:05:23                                Recordkeeping requirements.

20:08:05:24                                Bonding requirements for certain investment advisers.

20:08:05:25                                Custody requirements for investment advisers.

20:08:05:26                                Investment adviser brochure.

20:08:05:27                                Examination requirements.

20:08:05:28                                Prohibited conduct in providing investment advice.

20:08:05:29                                Contents of an investment advisory contract.


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