South Dakota Administrative Rules
Title 20 - PUBLIC SAFETY
Article 20:08 - SECURITIES
Chapter 20:08:05 - Investment adviser rules
- Section 20:08:05:01 - Registration requirements for investment advisers.Repealed
- Section 20:08:05:02 - Notice filing for federal covered advisers. Repealed
- Section 20:08:05:03 - Registration requirements for investment adviser representatives.Repealed
- Section 20:08:05:04 - Series 65 or Series 66 and Series 7 examination requirements. Repealed
- Section 20:08:05:05 - Custody of client funds or securities by investment advisers. Repealed
- Section 20:08:05:06 - Minimum financial requirements for investment advisers. Repealed
- Section 20:08:05:07 - Bonding requirements for certain investment advisers. Repealed
- Section 20:08:05:08 - Record keeping requirements for investment advisers. Repealed
- Section 20:08:05:09 - Cash payments for client solicitations. Repealed
- Section 20:08:05:10 - Written disclosure statements. Repealed
- Section 20:08:05:11 - Sponsors of wrap fee programs.Repealed
- Section 20:08:05:12 - Agency cross transactions for advisory clients. Repealed
- Section 20:08:05:13 - Fraudulent, deceptive, or manipulative practices. Repealed
- Section 20:08:05:14 - Investment adviser representative definitions
- Section 20:08:05:15 - Application for investment adviser and investment adviser representative registration
- Section 20:08:05:16 - Notice filing requirements for federal covered investment advisers
- Section 20:08:05:17 - Electronic filing with designated entity
- Section 20:08:05:18 - IARD transition rule
- Section 20:08:05:19 - Withdrawal of investment adviser and investment adviser representative registration
- Section 20:08:05:20 - Promptly remedied
- Section 20:08:05:21 - Minimum financial requirements for investment advisers
- Section 20:08:05:22 - Financial reporting requirements for investment advisers
- Section 20:08:05:23 - Recordkeeping requirements
- Section 20:08:05:24 - Bonding requirements for certain investment advisers
- Section 20:08:05:25 - Custody requirements for investment advisers
- Section 20:08:05:26 - Investment adviser brochure
- Section 20:08:05:27 - Examination requirements
- Section 20:08:05:28 - Prohibited conduct in providing investment advice
- Section 20:08:05:29 - Contents of an investment advisory contract
Disclaimer: These regulations may not be the most recent version. South Dakota may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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