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 [Repealed]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 [Repealed]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 [Repealed]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 [Repealed]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