Statutes, codes, and regulations
Pennsylvania Code (Rules and Regulations)
Title 10 - BANKING AND SECURITIESPart VII - SecuritiesSubpart D - Fraudulent and Prohibited Practices
Chapter 404 - PROHIBITED ACTIVITIES; INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
Section 404.013 - Reserved

10 Pa. Code § 404.013

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Current through Register Vol. 54, No. 49, December 7, 2024
Section 404.013 - Reserved

10 Pa. Code § 404.013

The provisions of this § 404.013 adopted September 1, 2000, effective 9/2/2000, 30 Pa.B. 4551; amended April 15, 2005, effective 4/16/2005, 35 Pa.B. 2307; transferred and renumbered from 64 Pa. Code § 404.013, December 14, 2012, effective 12/15/2012, 42 Pa.B. 7533; reserved January 12, 2018, effective 1/13/2018, 48 Pa.B. 389.

The provisions of this § 404.013 issued under sections 404(a) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. §§ 1-404(a) and 1-609(a)); reserved under section 202.C of the Department of Banking and Securities Code (71 P.S. § 733-202.C); section 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. § 1-609(a)); and section 9(b) of the Takeover Disclosure Law (70 P.S. § 79(b)).