 |
Arizona Administrative Code (Last Updated: November 17, 2016) |
 |
Title 14. PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION |
|
|
Chapter 6. CORPORATION COMMISSION INVESTMENT MANAGEMENT |
|
|
Article 2. DUTIES OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES |
| Section R14-6-201. Books and Records of Investment Advisers |
| Section R14-6-202. Supervision |
| Section R14-6-203. Dishonest and Unethical Practices |
| Section R14-6-204. Required Written Examinations |
| Section R14-6-205. Information to be Furnished to Clients (“Bro- chure Rule”) |
| Section R14-6-206. Custody of Client Funds or Securities by Invest- ment Advisers |
| Section R14-6-207. Suitability of Investment Advisory Services |
| Section R14-6-208. Advertisements by Investment Advisers or Investment Adviser Representatives |
| Section R14-6-209. Financial and Disciplinary Information that Investment Advisers Must Disclose to Clients |
| Section R14-6-210. Licensure of Investment Adviser Representatives |
| Section R14-6-211. Solicitation |
| Section R14-6-212. Application, Notice Filing, and Renewal Require- ments |