ARSD 20:08:05 – Investment Adviser Rules | Midpage

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Administrative Rules of South Dakota

Chapter 20:08:05

ARSD 20:08:05

Investment Adviser Rules

20:08:05:14Investment adviser representative definitions.20:08:05:15Application for investment adviser and investment adviser representative registration.20:08:05:16Notice filing requirements for federal covered investment advisers.20:08:05:17Electronic filing with designated entity.20:08:05:18IARD transition rule.20:08:05:19Withdrawal of investment adviser and investment adviser representative.20:08:05:20Promptly remedied.20:08:05:21Minimum financial requirements for investment advisers.20:08:05:22Financial reporting requirements for investment advisers.20:08:05:23Recordkeeping requirements.20:08:05:24Bonding requirements for certain investment advisers.20:08:05:25Custody requirements for investment advisers.20:08:05:26Investment adviser brochure.20:08:05:27Examination requirements.20:08:05:27.01Investment adviser representative examination validity extension program.20:08:05:28Prohibited conduct in providing investment advice.20:08:05:29Contents of an investment advisory contract.