Section .1800 - Miscellaneous Provisions - Investment Advisers | Midpage

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North Carolina Administrative Code

§ 1800

Section .1800 - Miscellaneous Provisions - Investment Advisers

.1801Dishonest or Unethical Practices .1802Custody/Client Funds or Securities by Investment Advisers .1803Agency Cross Transactions .1804Exemption/Section 78C‑8(a)(3)/Certain Broker‑Dealers .1805Performance‑Based Compensation Exemption .1806Transactions Deemed Not to Be Assignments .1807Request for Interpretative Opinions .1808Supervision of Investment Adviser Representatives .1809PUBLIC INFORMATION (repealed).1810Form of Consent to Service of Process .1811FORMS (repealed)