<html> <head> <meta name=Generator content="Microsoft Office HTML Filter 2.0"> <meta http-equiv=Content-Type content="text/html; charset=windows-1252"> <style> <!-- --> </style> </head> <body lang=EN-US link=blue vlink="#954F72"> <div> <p align=center><b>CHAPTER 20:08:05</b></p> <p align=center><b>&nbsp;</b></p> <p align=center><b>INVESTMENT ADVISER RULES</b></p> <p>Section</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:01">20:08:05:01</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:02">20:08:05:02</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:03">20:08:05:03</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:04">20:08:05:04</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:05">20:08:05:05</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:06">20:08:05:06</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:07">20:08:05:07</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:08">20:08:05:08</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:09">20:08:05:09</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:10">20:08:05:10</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:11">20:08:05:11</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:12">20:08:05:12</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:13">20:08:05:13</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:14">20:08:05:14</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Investment adviser representative definitions.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:15">20:08:05:15</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Application for investment adviser and investment adviser representative registration.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:16">20:08:05:16</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice filing requirements for federal covered investment advisers.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:17">20:08:05:17</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Electronic filing with designated entity.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:18">20:08:05:18</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; IARD transition rule.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:19">20:08:05:19</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Withdrawal of investment adviser and investment adviser representative registration.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:20">20:08:05:20</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Promptly remedied.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:21">20:08:05:21</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Minimum financial requirements for investment advisers.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:22">20:08:05:22</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Financial reporting requirements for investment advisers.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:23">20:08:05:23</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Recordkeeping requirements.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:24">20:08:05:24</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Bonding requirements for certain investment advisers.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:25">20:08:05:25</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Custody requirements for investment advisers.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:26">20:08:05:26</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Investment adviser brochure.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:27">20:08:05:27</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Examination requirements.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:28">20:08:05:28</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Prohibited conduct in providing investment advice.</p> <p><a href="DisplayRule.aspx?Rule=20:08:05:29">20:08:05:29</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Contents of an investment advisory contract.</p> </div> </body> </html>