Statutes, codes, and regulations
Pennsylvania Code (Rules and Regulations)
Title 10 - BANKING AND SECURITIESPart VII - SecuritiesSubpart C - Registration of Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives and Notice Filings by Federally Covered Advisers
Chapter 304 - POSTREGISTRATION PROVISIONS
Section 304.052 - Investment adviser compensation

10 Pa. Code § 304.052

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Current through Register Vol. 54, No. 45, November 9, 2024
Section 304.052 - Investment adviser compensation

No investment adviser registered under the act may charge or receive commissions or other compensation in connection with the giving of investment advice unless the compensation is fair and reasonable and is determined on an equitable basis.

10 Pa. Code § 304.052

The provisions of this §304.052 adopted March 29, 1974, effective 3/30/1974, 4 Pa.B. 582; amended September 1, 2000, effective 9/2/2000, 30 Pa.B. 4551; transferred and renumbered from 64 Pa. Code § 304.052, December 14, 2012, effective 12/15/2012, 42 Pa.B. 7533.

The provisions of this §304.052 amended under sections 304(a), (b) and (e) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P. S. §§ 1-304(a), (b) and (e) and 1-609(a)).