Article 10. Licensing and Regulation of Investment Advisers
- § 260.230. Electronic Filings.
- § 260.230.1. Notice Filing Requirements for Investment Advisers Registered Under Section 203 of the Investment Advisers Act of 1940.
- § 260.231. Application for Investment Adviser Certificate.
- § 260.231.1. Special Instruction Sheet. [Repealed]
- § 260.231.2. Application for Investment Adviser Certificate Not Filing Through the Investment Adviser Registration Depository. [Repealed]
- § 260.231.3. Representation of Eligibility by Investment Adviser.
- § 260.234. Compensation Based on Capital Gains.
- § 260.235. Advertisements by Investment Advisers.
- § 260.235.1. Licensed Broker-Dealers.
- § 260.235.2. Disclosure of Compensation for Financial Planning Activities.
- § 260.235.3. Agency Cross Transactions for Advisory Clients.
- § 260.235.4. Financial and Disciplinary Information Disclosures by Investment Advisers.
- § 260.236. Qualifications of Investment Advisers and Investment Adviser Representatives.
- § 260.236.1. Reporting Requirements for Investment Adviser Representatives.
- § 260.236.2. Reporting Requirements for Investment Adviser Representatives of Investment Advisers Not Filing Through the Investment Adviser Registration Depository. [Repealed]
- § 260.237. Custody or Possession of Funds or Securities of Clients.
- § 260.237.1. Alternative Minimum Financial Requirements (Until 1/1/05). [Repealed]
- § 260.237.2. Minimum Financial Requirements.
- § 260.238. Investment Advisers: Fair, Equitable and Ethical Principles.