| 460-24A-005 |
Definitions. |
| 460-24A-010 |
Investment advisers -- Where rules apply. |
| 460-24A-020 |
Investment adviser representatives employed by federal covered advisers. |
| 460-24A-030 |
Use of the term "investment counsel." |
| 460-24A-040 |
Use of certain terms. |
| 460-24A-045 |
Holding out as a financial planner. |
| 460-24A-047 |
Electronic filing with designated entity. |
| 460-24A-050 |
Investment adviser and investment adviser representative registration and examinations. |
| 460-24A-055 |
Effective date of license. |
| 460-24A-057 |
Renewal of investment adviser and investment adviser representative registration -- Delinquency fees. |
| 460-24A-058 |
Completion of filing. |
| 460-24A-060 |
Financial statements required on investment advisers. |
| 460-24A-070 |
Notice filings for federal covered advisers. |
| 460-24A-080 |
Termination of investment adviser and investment adviser representative registration and federal covered adviser
notice filing status. |
| 460-24A-100 |
Advertisements by investment advisers. |
| 460-24A-105 |
Requirements for an investment adviser that has custody or possession of client funds or securities. |
| 460-24A-106 |
Additional custody requirements for an investment adviser that directly deducts fees from client accounts. |
| 460-24A-107 |
Custody requirements for an investment adviser that manages a pooled investment vehicle or trust. |
| 460-24A-108 |
Custody requirements for an investment adviser that acts as trustee and investment adviser to a trust. |
| 460-24A-109 |
Exceptions from custody requirements. |
| 460-24A-110 |
Agency cross transactions. |
| 460-24A-140 |
Guarantees of success. |
| 460-24A-145 |
Investment adviser brochure rule. |
| 460-24A-150 |
Performance compensation arrangements. |
| 460-24A-160 |
Refunds. |
| 460-24A-170 |
Minimum financial requirements for investment advisers. |
| 460-24A-200 |
Books and records to be maintained by investment advisers. |
| 460-24A-205 |
Notice of changes by investment advisers and investment adviser representatives. |
| 460-24A-210 |
Notice of complaint. |
| 460-24A-220 |
Unethical business practices -- Investment advisers and federal covered advisers. |