Section 130.285  Definition, For Certain Purposes, of the Terms "Inequitable", "Tend to Work a Fraud or Deceit", "Inequitable Practice in the Sale of Securities", and "Fraudulent Business Practices", as Used in Section 8 and Section 11 of the Act

a)         The failure of any dealer or salesperson to comply with Sections 130.810 130.821, 130.824, 130.825, 130.827, 130.850 and 130.851, of this Part shall constitute an inequitable practice in the sale of securities and a fraudulent business practice.

b)         The failure of any investment adviser to comply with Sections 130.840, 130.841, 130.844, 130.845, 130.852, 130.853, and 130.854, of this Part shall constitute an inequitable practice in the sale of securities and a fraudulent business practice.