Chapter 515 - INVESTMENT ADVISER LICENSING
- Chapter 515 - INVESTMENT ADVISER LICENSING
- Section 032-515-1 - Definitions
- Section 032-515-2 - Electronic filing with designated entity
- Section 032-515-3 - Application for investment adviser licensure
- Section 032-515-4 - Application for investment adviser representative licensure
- Section 032-515-5 - Notice filing requirements for Federal Covered Investment Advisers
- Section 032-515-6 - Advertising
- Section 032-515-7 - Record keeping requirements for investment advisers
- Section 032-515-8 - Investment adviser brochure rule
- Section 032-515-9 - Termination, transfer and withdrawal
- Section 032-515-10 - Examination and training requirements
- Section 032-515-11 - Custody of client funds or securities by investment advisers
- Section 032-515-12 - Minimum financial requirements for investment advisers
- Section 032-515-13 - Bonding requirements for licensed investment advisers
- Section 032-515-14 - Dishonest and unethical practices
- Section 032-515-15 - Location of forms