Duties of Investment Advisers and Investment Adviser Representatives | Midpage

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Arizona Administrative Code

2

Duties of Investment Advisers and Investment Adviser Representatives

Corporation Commission - Investment Management

R14-6-201Books and Records of Investment Advisers R14-6-202Supervision R14-6-203Dishonest and Unethical Practices R14-6-204Required Written Examinations R14-6-205Information to be Furnished to Clients (“Brochure Rule”)R14-6-206Custody of Client Funds or Securities by Investment Advisers R14-6-207Suitability of Investment Advisory Services R14-6-208Advertisements by Investment Advisers or Investment Adviser Representatives R14-6-209Financial and Disciplinary Information that Investment Advisors Shall Disclose to Clients R14-6-210Licensure of Investment Adviser Representatives R14-6-211Solicitation R14-6-212Application, Notice Filing, and Renewal Requirements