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COMMONWEALTH OF PENNSYLVANIA

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10 Pa. Code § 304.052. Investment adviser compensation.

§ 304.052. Investment adviser compensation.

 No investment adviser registered under the act may charge or receive commissions or other compensation in connection with the giving of investment advice unless the compensation is fair and reasonable and is determined on an equitable basis.

Authority

   The provisions of this §  304.052 amended under sections 304(a), (b) and (e) and 609(a) of the Pennsylvania Securities Act of 1972 (70 P. S. § §  1-304(a), (b) and (e) and 1-609(a)).

Source

   The provisions of this §  304.052 adopted March 29, 1974, effective March 30, 1974, 4 Pa.B. 582; amended September 1, 2000, effective September 2, 2000, 30 Pa.B. 4551; transferred and renumbered from 64 Pa. Code §  304.052, December 14, 2012, effective December 15, 2012, 42 Pa.B. 7533. Immediately preceding text appears at serial pages (315092) to (315093).


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