Chapter 20:08:05 - Investment adviser rules

  1. § 20:08:05:01 - Registration requirements for investment advisers.Repealed
  2. § 20:08:05:02 - Notice filing for federal covered advisers. Repealed
  3. § 20:08:05:03 - Registration requirements for investment adviser representatives.Repealed
  4. § 20:08:05:04 - Series 65 or Series 66 and Series 7 examination requirements. Repealed
  5. § 20:08:05:05 - Custody of client funds or securities by investment advisers. Repealed
  6. § 20:08:05:06 - Minimum financial requirements for investment advisers. Repealed
  7. § 20:08:05:07 - Bonding requirements for certain investment advisers. Repealed
  8. § 20:08:05:08 - Record keeping requirements for investment advisers. Repealed
  9. § 20:08:05:09 - Cash payments for client solicitations. Repealed
  10. § 20:08:05:10 - Written disclosure statements. Repealed
  11. § 20:08:05:11 - Sponsors of wrap fee programs.Repealed
  12. § 20:08:05:12 - Agency cross transactions for advisory clients. Repealed
  13. § 20:08:05:13 - Fraudulent, deceptive, or manipulative practices. Repealed
  14. § 20:08:05:14 - Investment adviser representative definitions
  15. § 20:08:05:15 - Application for investment adviser and investment adviser representative registration
  16. § 20:08:05:16 - Notice filing requirements for federal covered investment advisers
  17. § 20:08:05:17 - Electronic filing with designated entity
  18. § 20:08:05:18 - IARD transition rule
  19. § 20:08:05:19 - Withdrawal of investment adviser and investment adviser representative registration
  20. § 20:08:05:20 - Promptly remedied
  21. § 20:08:05:21 - Minimum financial requirements for investment advisers
  22. § 20:08:05:22 - Financial reporting requirements for investment advisers
  23. § 20:08:05:23 - Recordkeeping requirements
  24. § 20:08:05:24 - Bonding requirements for certain investment advisers
  25. § 20:08:05:25 - Custody requirements for investment advisers
  26. § 20:08:05:26 - Investment adviser brochure
  27. § 20:08:05:27 - Examination requirements
  28. § 20:08:05:28 - Prohibited conduct in providing investment advice
  29. § 20:08:05:29 - Contents of an investment advisory contract

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.


No prior version found.