Section 460-24A-005. Definitions.

Section 460-24A-010. Application of rules to out-of-state investment advisers.

Section 460-24A-020. Investment adviser representatives employed by federal covered advisers.

Section 460-24A-030. Use of the term "investment counsel" is prohibited.

Section 460-24A-035. Definition of "client" of an investment adviser.

Section 460-24A-040. Use of certain terms deemed similar to "financial planner" or "investment counselor."

Section 460-24A-045. Holding out as a financial planner.

Section 460-24A-047. Electronic filing with designated entity.

Section 460-24A-050. Registration and examination requirements.

Section 460-24A-055. Effective date of license.

Section 460-24A-057. Renewal of investment adviser and investment adviser representative registration—Delinquency fees.

Section 460-24A-059. Pending application—Notice of termination—Application for continuation.

Section 460-24A-060. Financial reporting requirements for investment advisers.

Section 460-24A-070. Notice filing requirements for federal covered advisers.

Section 460-24A-071. Registration exemption for investment advisers to private funds.

Section 460-24A-072. Registration exemption for investment advisers to venture capital funds.

Section 460-24A-080. Termination of investment adviser and investment adviser representative registration and federal covered adviser notice filing status.

Section 460-24A-100. Advertisements by investment advisers.

Section 460-24A-105. Requirements for an investment adviser that has custody or possession of client funds or securities.

Section 460-24A-106. Additional custody requirements for an investment adviser that directly deducts fees from client accounts.

Section 460-24A-107. Additional custody requirements for an investment adviser that manages a pooled investment vehicle or trust.

Section 460-24A-108. Additional custody requirements for an investment adviser that acts as trustee and investment adviser to a trust.

Section 460-24A-109. Exceptions from custody requirements.

Section 460-24A-110. Agency cross transactions.

Section 460-24A-120. Compliance procedures and practices.

Section 460-24A-125. Proxy voting.

Section 460-24A-130. Contents of investment advisory contract.

Section 460-24A-140. Guarantees of success are prohibited.

Section 460-24A-145. Investment adviser brochure rule.

Section 460-24A-150. Performance compensation arrangements.

Section 460-24A-160. Restrictions on advertising refunds.

Section 460-24A-170. Minimum financial requirements for investment advisers.

Section 460-24A-200. Books and records to be maintained by investment advisers.

Section 460-24A-205. Notice of changes by investment advisers and investment adviser representatives.

Section 460-24A-210. Notice of complaint must be filed with director.

Section 460-24A-220. Unethical business practices—Investment advisers and federal covered advisers.