Indiana · Regulations
Rule 9 — Investment Advisers
18 sections
18 sections
- 710 IAC 4-9-1710 IAC 4-9-1 Investment adviser registration application
- 710 IAC 4-9-2710 IAC 4-9-2 Investment adviser representative application
- 710 IAC 4-9-3710 IAC 4-9-3 Termination or withdrawal from registration
- 710 IAC 4-9-4710 IAC 4-9-4 Incomplete and abandoned applications
- 710 IAC 4-9-5710 IAC 4-9-5 Exemption for certain broker-dealers
- 710 IAC 4-9-6710 IAC 4-9-6 Examinations
- 710 IAC 4-9-7710 IAC 4-9-7 Books and records; maintenance
- 710 IAC 4-9-8710 IAC 4-9-8 Supervision of investment adviser representatives and employees
- 710 IAC 4-9-9710 IAC 4-9-9 Written disclosure statements
- 710 IAC 4-9-10710 IAC 4-9-10 Performance based compensation exemption
- 710 IAC 4-9-11710 IAC 4-9-11 Certain transactions not deemed assignments
- 710 IAC 4-9-12710 IAC 4-9-12 Financial statements and reporting requirements for investment advisers
- 710 IAC 4-9-13710 IAC 4-9-13 Custody and possession of client funds or securities
- 710 IAC 4-9-14710 IAC 4-9-14 Agency cross transactions for advisory clients
- 710 IAC 4-9-15710 IAC 4-9-15 Dishonest or unethical practices
- 710 IAC 4-9-16710 IAC 4-9-16 Amendment of registration documents filed by investment advisers and investment adviser representatives
- 710 IAC 4-9-17710 IAC 4-9-17 Refunds
- 710 IAC 4-9-18710 IAC 4-9-18 Unlawful practices; investment advisers and investment adviser representatives