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20:08:05Investment Adviser Rules

Chapter · Administrative Rules of South Dakota · View on sdlegislature.gov ↗

Sections (34)

20:08:05:01Registration requirements for investment
20:08:05:01.01Electronic
20:08:05:01.02State investment
20:08:05:01.03Investment
20:08:05:02Notice filing for
20:08:05:03Registration requirements for investment adviser
20:08:05:04Series 65 or Series
20:08:05:05Custody of client
20:08:05:06Minimum financial
20:08:05:07Bonding
20:08:05:08Record keeping
20:08:05:09Cash payments for
20:08:05:10Written disclosure
20:08:05:10.01Financial
20:08:05:11Sponsors of wrap fee programs.
20:08:05:12Agency cross
20:08:05:13Fraudulent,
20:08:05:14Investment adviser
20:08:05:15Application for
20:08:05:16Notice filing
20:08:05:17Electronic filing
20:08:05:18IARD transition
20:08:05:19Withdrawal of
20:08:05:20Promptly remedied.
20:08:05:21Minimum financial
20:08:05:22Financial reporting
20:08:05:23Recordkeeping
20:08:05:24Bonding
20:08:05:25Custody requirements
20:08:05:26Investment adviser
20:08:05:27Examination requirements.
20:08:05:27.01Investment adviser representative examination validity extension program.
20:08:05:28Prohibited conduct
20:08:05:29Contents of an