Reference: Ref-16501
| Reference Name: | Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser Pursuant to Rule 206(4)-2 [17 CFR 275.206(4)-2], Form ADV-E (01-13) |
| Agency: | 69 Department of Financial Services 69W Securities |
| Original Document(s): |
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| Modified Document(s): | No Modified document(s). | |||||
| Description: | Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser Pursuant to Rule 206(4)-2 [17 CFR 275.206(4)-2], Form ADV-E (01-13) | |||||
Disclaimer: External links within the reference material are subject to change outside of the rulemaking process.
Rules/Notices using this Reference Material| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Custody Requirements for Investment Advisers | 28115952 |
Effective: 03/21/2024 |
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