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Section .1700 - Registration of Investment Advisers and Investment Adviser Representatives | Midpage
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North Carolina Administrative Code
Title 18
Chapter 06
Subchapter A
§ 1700
Section .1700 - Registration of Investment Advisers and Investment Adviser Representatives
.1701
Definitions
.1702
Application for Investment Adviser Registration/Notice Filing for Investment Adviser Covered under Federal Law
.1703
Application/Investment Adviser Representative Registration
.1704
Minimum Financial Requirements for Investment Advisers
.1705
Bonding Requirements for Certain Investment Advisers
.1706
Record‑Keeping Requirements for Investment Advisers
.1707
Investment Adviser Brochure Rule
.1708
Financial Reporting Requirements for Investment Advisers
.1709
Exam Require/Investment Advisers: Representatives
.1710
Termination/Withdrawal/Investment Adviser Registrations
.1711
Transfer/Investment Adviser Representative's Registration
.1712
CHANGE OF NAME OF INVESTMENT ADVISER (repealed)
.1713
Invest Adviser Merger/Consolidation/Acquisition/Succession
.1714
REGISTRATION OF PARTNERS/EXECUTIVE OFFICERS/DIRECTORS (repealed)
.1715
Investment Adviser Registration Depository
.1716
Transition Schedule for Conversion to Iard
.1717
Cash Payments for Client Solicitations