This rule references various sections of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the regulations adopted under those Acts, which are adopted and incorporated by reference. Copies of these Acts and regulations are available from the division.

KEY: securities, securities regulation, investment advisers, custody requirements

Date of Last Change: March 11, 2022

Notice of Continuation: December 18, 2024

Authorizing, and Implemented or Interpreted Law: 61-1-2; 61-1-24