NAC90.3864. Adoption by reference of certain policies and rules governing practice.

For the purposes of subsection 5 of NRS 90.390, the Administrator hereby adopts by reference:

     1. The Statement of Policy on Unethical Business Practices of Investment Advisers, as adopted by the North American Securities Administrators Association on April 5, 1985, and amended by that association on April 27, 1997, and published in the Commerce Clearing House NASAA Reports.

     2. Model Rule 203(a)(2), Alternative 2, Recordkeeping Requirements for Investment Advisers, as adopted by the North American Securities Administrators Association on May 3, 1998.

     3. The provisions of 17 C.F.R. § 275.204-2, as adopted by the Securities and Exchange Commission pursuant to the Investment Company Act of 1940.

     4. The provisions of 17 C.F.R. § 275.204-3, as adopted by the Securities and Exchange Commission pursuant to the Investment Company Act of 1940.

     (Added to NAC by Sec’y of State, eff. 10-16-89; A 9-15-94; R016-02, 8-6-2002)—(Substituted in revision for NAC 90.352)