Section 710IAC4-9-1. Investment adviser registration application

Section 710IAC4-9-2. Investment adviser representative application

Section 710IAC4-9-3. Termination or withdrawal from registration

Section 710IAC4-9-4. Incomplete and abandoned applications

Section 710IAC4-9-5. Exemption for certain broker-dealers

Section 710IAC4-9-6. Examinations

Section 710IAC4-9-7. Books and records; maintenance

Section 710IAC4-9-8. Supervision of investment adviser representatives and employees

Section 710IAC4-9-9. Written disclosure statements

Section 710IAC4-9-10. Performance based compensation exemption

Section 710IAC4-9-11. Certain transactions not deemed assignments

Section 710IAC4-9-12. Financial statements and reporting requirements for investment advisers

Section 710IAC4-9-13. Custody and possession of client funds or securities

Section 710IAC4-9-14. Agency cross transactions for advisory clients

Section 710IAC4-9-15. Dishonest or unethical practices

Section 710IAC4-9-16. Amendment of registration documents filed by investment advisers and investment adviser representatives

Section 710IAC4-9-17. Refunds

Section 710IAC4-9-18. Unlawful practices; investment advisers and investment adviser representatives