IDAPA 12.01.08.097

Investment Adviser Affiliation With Broker-Dealers/Issuers/Agents

Last amended: 2024Year: 2026Length: 47 wordsOfficial source
If an investment adviser becomes affiliated with a broker-dealer or issuer, he will be under a continuing obligation to make full disclosure of the affiliation to all parties to the affiliation, and must provide written notice to the Administrator of any material changes concerning any affiliation. (7-1-24)
IDAPA 12.01.08.097: Investment Adviser Affiliation With Broker-Dealers/Issuers/Agents | Justis AI