Chapter 5 - REGISTRATION OF BROKER-DEALERS AND AGENTS
- Rule 1-14-5.01 - Application for Broker-Dealer
- Rule 1-14-5.03 - Minimum Financial Requirements and Financial Reporting Requirements of Broker-Dealers
- Rule 1-14-5.05 - Bonding Requirements for Intrastate Broker-Dealers
- Rule 1-14-5.07 - Change of Material Information; Amendments
- Rule 1-14-5.09 - Financial Reporting
- Rule 1-14-5.11 - Renewal of Registration
- Rule 1-14-5.13 - Withdrawal of Registration
- Rule 1-14-5.15 - Record Keeping Requirements of Broker-Dealers
- Rule 1-14-5.17 - Preservation of Records
- Rule 1-14-5.19 - Supervision
- Rule 1-14-5.21 - Standards of Conduct
- Rule 1-14-5.23 - Agent Registration and Termination (FINRA)
- Rule 1-14-5.25 - Agent Registration and Termination (non-FINRA)
- Rule 1-14-5.27 - Dual Registration
- Rule 1-14-5.29 - Written Examinations
- Rule 1-14-5.31 - Issuers and Issuer Agents
- Rule 1-14-5.33 - Registration Exemption - Canadian Cross-Border Trading
- Rule 1-14-5.35 - Registration Exemption for Merger and Acquisition Brokers