Notice: 12314943
Miscellaneous
Department: DEPARTMENT OF FINANCIAL SERVICES
Division: Securities
Chapter: REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS

VIEW NOTICE

Overview

2011 Rule Review - Final Report

RULE:
69W-600.0132   Custody Requirements for Investment Advisers
69W-600.015   Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers (Repealed)
69W-600.016   Net Capital Requirements for Dealers and Investment Advisers (Repealed)

REFERENCE MATERIALS: No reference(s).