69w-600.0131. Prohibited Business Practices For Investment Advisers And Their Associated Persons
- Date
- Event
- Notification
- Status
- Reviewed
-
Date
11/23/2005
-
Event
Notice of Rule Development (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
02/24/2006
-
Event
Notice of Proposed Rulemaking
-
Notification
-
Status
-
Reviewed
-
Date
03/27/2006
-
Event
Letter from JAPC to Agency (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
03/30/2006
-
Event
Agency Tolled Filing Date for JAPC Review
-
Notification
-
Status
-
Reviewed
-
Date
04/03/2006
-
Event
Letter Received by JAPC (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
05/25/2006
-
Event
90-Day Filing Deadline
-
Notification
-
Status
-
Reviewed
-
Date
05/31/2006
-
Event
Letter from JAPC to Agency (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
07/24/2006
-
Event
Letter Received by JAPC (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
07/28/2006
-
Event
Letter Received by JAPC (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
08/10/2006
-
Event
Letter Received by JAPC (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
09/01/2006
-
Event
Notice of Change Published in FAW (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
09/25/2006
-
Event
Letter Received by JAPC (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
10/03/2006
-
Event
Agency Toll Ends - JAPC Review Complete
-
Notification
-
Status
-
Reviewed
-
Date
10/03/2006
-
Event
Certified with Dept of State (PDF)
-
Notification
-
Status
-
Reviewed
-
Date
10/03/2006
-
Event
Filed for Adoption with Dept of State
-
Notification
-
Status
-
Reviewed
-
Date
10/23/2006
-
Event
Effective Date
-
Notification
-
Status
-
Reviewed
-
Date
11/28/2006
-
Event
90-Day Filing Exception Deadline
-
Notification
-
Status
-
Reviewed
