Chapter 460-24A - Investment advisers

  1. § 460-24A-005 - Definitions
  2. § 460-24A-010 - Application of rules to out-of-state investment advisers
  3. § 460-24A-020 - Investment adviser representatives employed by federal covered advisers
  4. § 460-24A-030 - Use of the term "investment counsel" is prohibited
  5. § 460-24A-035 - Counting of clients for registration purposes
  6. § 460-24A-040 - Use of certain terms deemed similar to "financial planner" or "investment counselor"
  7. § 460-24A-045 - Holding out as a financial planner
  8. § 460-24A-047 - Electronic filing
  9. § 460-24A-050 - Registration and examination requirements
  10. § 460-24A-055 - Effective date of registration
  11. § 460-24A-057 - Renewal of investment adviser and investment adviser representative registration-Delinquency fees
  12. § 460-24A-058 - Completion of filing (Repealed)
  13. § 460-24A-059 - Pending application-Notice of termination-Application for continuation
  14. § 460-24A-060 - Financial reporting requirements for investment advisers
  15. § 460-24A-070 - Notice filing requirements for federal covered advisers
  16. § 460-24A-071 - Registration exemption for investment advisers to private funds
  17. § 460-24A-072 - Registration exemption for investment advisers to venture capital funds
  18. § 460-24A-080 - Termination of investment adviser and investment adviser representative registration and federal covered adviser notice filing status
  19. § 460-24A-100 - Advertisements and written client communications by investment advisers
  20. § 460-24A-105 - Requirements for an investment adviser that has custody or possession of client funds or securities
  21. § 460-24A-106 - Additional custody requirements for an investment adviser that directly deducts fees from client accounts
  22. § 460-24A-107 - Additional custody requirements for an investment adviser that manages a pooled investment vehicle or trust
  23. § 460-24A-108 - Additional custody requirements for an investment adviser that acts as trustee and investment adviser to a trust
  24. § 460-24A-109 - Exceptions from custody requirements
  25. § 460-24A-110 - Agency cross transactions
  26. § 460-24A-120 - Compliance procedures and practices
  27. § 460-24A-122 - Material nonpublic information policies and procedures
  28. § 460-24A-125 - Proxy voting
  29. § 460-24A-126 - Business continuity and succession plan
  30. § 460-24A-130 - Contents of investment advisory contract
  31. § 460-24A-135 - Dissemination of advisory fee billing information for advisers who do not directly deduct fees
  32. § 460-24A-140 - Guarantees of success
  33. § 460-24A-145 - Investment adviser brochure rule
  34. § 460-24A-150 - Performance compensation arrangements
  35. § 460-24A-160 - Restrictions on advertising refunds
  36. § 460-24A-170 - Minimum net worth requirements for investment advisers
  37. § 460-24A-190 - Training regarding vulnerable adults
  38. § 460-24A-200 - Books and records to be maintained by investment advisers
  39. § 460-24A-205 - Notice of changes by investment advisers and investment adviser representatives
  40. § 460-24A-210 - Notice of complaint must be filed with director
  41. § 460-24A-220 - Unethical business practices-Investment advisers and federal covered advisers

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.