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 Application for registration (Repealed)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 Notice of changes in circumstances (Repealed)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 Expiration and renewal of registration (Repealed)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 Unethical business practices (Repealed)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 Annual reports (Repealed)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 Holding out as an investment adviser (Repealed)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 Investment adviser registration application (Repealed)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 Investment adviser representative application (Repealed)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 Fees for registration and renewal (Repealed)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 Termination or withdrawal from registration (Repealed)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 Incomplete and abandoned applications (Repealed)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 Exemption for certain broker-dealers (Repealed)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 Examinations (Repealed)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 Books and records; maintenance (Repealed)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 Supervision of investment adviser representatives and employees (Repealed)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 Written disclosure statements (Repealed)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 Performance based compensation exemption (Repealed)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 Certain transactions not deemed assignments (Repealed)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 Financial statements and reporting requirements for investment advisers (Repealed)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 Custody and possession of client funds or securities (Repealed)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 Agency cross transactions for advisory clients (Repealed)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 Dishonest or unethical practices (Repealed)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 Amendment of registration documents filed by investment advisers and investment adviser representatives (Repealed)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 Refunds (Repealed)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(Repealed by Securities Division; filed Mar 24, 1986, 3:27 pm: 9 IR 2056, eff Jun 1, 1986) (Repealed by Securities Division; filed Mar 24, 1986, 3:27 pm: 9 IR 2056, eff Jun 1, 1986) (Repealed by Securities Division; filed Mar 24, 1986, 3:27 pm: 9 IR 2056, eff Jun 1, 1986) (Repealed by Securities Division; filed Mar 24, 1986, 3:27 pm: 9 IR 2056, eff Jun 1, 1986)