Rule 710 IAC 1-16 - Investment Advisers

  1. § 710 IAC 1-16-1 - Application for registration (Repealed)
  2. § 710 IAC 1-16-2 - Notice of changes in circumstances (Repealed)
  3. § 710 IAC 1-16-3 - Expiration and renewal of registration (Repealed)
  4. § 710 IAC 1-16-4 - Unethical business practices (Repealed)
  5. § 710 IAC 1-16-5 - Annual reports (Repealed)
  6. § 710 IAC 1-16-6 - Holding out as an investment adviser (Repealed)
  7. § 710 IAC 1-16-7 - Investment adviser registration application (Repealed)
  8. § 710 IAC 1-16-8 - Investment adviser representative application (Repealed)
  9. § 710 IAC 1-16-9 - Fees for registration and renewal (Repealed)
  10. § 710 IAC 1-16-10 - Termination or withdrawal from registration (Repealed)
  11. § 710 IAC 1-16-11 - Incomplete and abandoned applications (Repealed)
  12. § 710 IAC 1-16-12 - Exemption for certain broker-dealers (Repealed)
  13. § 710 IAC 1-16-13 - Examinations (Repealed)
  14. § 710 IAC 1-16-14 - Books and records; maintenance (Repealed)
  15. § 710 IAC 1-16-15 - Supervision of investment adviser representatives and employees (Repealed)
  16. § 710 IAC 1-16-16 - Written disclosure statements (Repealed)
  17. § 710 IAC 1-16-17 - Performance based compensation exemption (Repealed)
  18. § 710 IAC 1-16-18 - Certain transactions not deemed assignments (Repealed)
  19. § 710 IAC 1-16-19 - Financial statements and reporting requirements for investment advisers (Repealed)
  20. § 710 IAC 1-16-20 - Custody and possession of client funds or securities (Repealed)
  21. § 710 IAC 1-16-21 - Agency cross transactions for advisory clients (Repealed)
  22. § 710 IAC 1-16-22 - Dishonest or unethical practices (Repealed)
  23. § 710 IAC 1-16-23 - Amendment of registration documents filed by investment advisers and investment adviser representatives (Repealed)
  24. § 710 IAC 1-16-24 - Refunds (Repealed)

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