 Date: 2011-08-01 14:36:56Investment Advisers Act Business U.S. Securities and Exchange Commission Financial adviser Securities regulation in the United States Broker-dealer Registered Investment Advisor Net capital rule Financial economics Finance 76th United States Congress | |  RULE Office of the Governor Office of Financial Institutions Broker-Dealer and Investment Adviser Recordkeeping Requirements (LAC 10:XIII.Chapter 17) In accordance with the Louisiana Securities Law, R.S. 51:701 et seq.,
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![APPENDIX B [Form ADV, Part 3:] 1 Instructions to Form CRS General Instructions Under rule 17a-14 under the Securities Exchange Act of 1934 and ruleunder the Investment Advisers Act of 1940, broker-dealers registe](https://www.pdfsearch.io/img/978b22a5d4ac5f03ff2ee0835596abc5.jpg "APPENDIX B [Form ADV, Part 3:] 1 Instructions to Form CRS General Instructions Under rule 17a-14 under the Securities Exchange Act of 1934 and ruleunder the Investment Advisers Act of 1940, broker-dealers registe")
