Chapter DFI-Sec 5 - Registration and notice filing procedures for investment advisers, federal covered investment advisers, and investment adviser representatives
- Section DFI-Sec 5.01 - Registration procedure
- Section DFI-Sec 5.02 - Net worth requirement
- Section DFI-Sec 5.03 - Investment advisers' records
- Section DFI-Sec 5.035 - Investment advisors with custody
- Section DFI-Sec 5.04 - Reporting requirements
- Section DFI-Sec 5.05 - Practice and advisory contract rules
- Section DFI-Sec 5.06 - Prohibited conduct
- Section DFI-Sec 5.07 - Registration and notice filing period
- Section DFI-Sec 5.08 - Withdrawal of registration
- Section DFI-Sec 5.09 - Denial, suspension, revocation and censure
- Section DFI-Sec 5.10 - Electronic filing
- Section DFI-Sec 5.11 - Federal covered investment adviser notice filing procedure
- Section DFI-Sec 5.12 - Transition filing
- Section DFI-Sec 5.13 - Registration exemptions