Indiana Administrative Code (Last Updated: December 20, 2016) |
Title 710. SECURITIES DIVISION |
Article 710IAC1. GENERAL PROVISIONS |
Rule 710IAC1-16. Investment Advisers |
Section 710IAC1-16-1. Application for registration (Repealed) |
Section 710IAC1-16-2. Notice of changes in circumstances (Repealed) |
Section 710IAC1-16-3. Expiration and renewal of registration (Repealed) |
Section 710IAC1-16-4. Unethical business practices (Repealed) |
Section 710IAC1-16-5. Annual reports (Repealed) |
Section 710IAC1-16-6. Holding out as an investment adviser (Repealed) |
Section 710IAC1-16-7. Investment adviser registration application (Repealed) |
Section 710IAC1-16-8. Investment adviser representative application (Repealed) |
Section 710IAC1-16-9. Fees for registration and renewal (Repealed) |
Section 710IAC1-16-10. Termination or withdrawal from registration (Repealed) |
Section 710IAC1-16-11. Incomplete and abandoned applications (Repealed) |
Section 710IAC1-16-12. Exemption for certain broker-dealers (Repealed) |
Section 710IAC1-16-13. Examinations (Repealed) |
Section 710IAC1-16-14. Books and records; maintenance (Repealed) |
Section 710IAC1-16-15. Supervision of investment adviser representatives and employees (Repealed) |
Section 710IAC1-16-16. Written disclosure statements (Repealed) |
Section 710IAC1-16-17. Performance based compensation exemption (Repealed) |
Section 710IAC1-16-18. Certain transactions not deemed assignments (Repealed) |
Section 710IAC1-16-19. Financial statements and reporting requirements for investment advisers (Repealed) |
Section 710IAC1-16-20. Custody and possession of client funds or securities (Repealed) |
Section 710IAC1-16-21. Agency cross transactions for advisory clients (Repealed) |
Section 710IAC1-16-22. Dishonest or unethical practices (Repealed) |
Section 710IAC1-16-23. Amendment of registration documents filed by investment advisers and investment adviser representatives (Repealed) |
Section 710IAC1-16-24. Refunds (Repealed) |
Notes
(Repealed by Securities Division; filed Mar 24, 1986, 3:27 pm: 9 IR 2056, eff Jun 1, 1986)
(Repealed by Securities Division; filed Mar 24, 1986, 3:27 pm: 9 IR 2056, eff Jun 1, 1986)
(Repealed by Securities Division; filed Mar 24, 1986, 3:27 pm: 9 IR 2056, eff Jun 1, 1986)
(Repealed by Securities Division; filed Mar 24, 1986, 3:27 pm: 9 IR 2056, eff Jun 1, 1986)