Part 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 30-14-401 - BROKER-DEALER REGISTRATION REQUIREMENT AND EXEMPTIONS
- Section 30-14-402 - AGENT REGISTRATION REQUIREMENT AND EXEMPTIONS
- Section 30-14-403 - INVESTMENT ADVISER REGISTRATION REQUIREMENT AND EXEMPTIONS
- Section 30-14-404 - INVESTMENT ADVISER REPRESENTATIVE REGISTRATION REQUIREMENT AND EXEMPTIONS
- Section 30-14-405 - FEDERAL COVERED INVESTMENT ADVISER NOTICE FILING REQUIREMENT
- Section 30-14-406 - REGISTRATION BY BROKER-DEALER, AGENT, INVESTMENT ADVISER, AND INVESTMENT ADVISER REPRESENTATIVE
- Section 30-14-407 - SUCCESSION AND CHANGE IN REGISTRATION OF BROKER-DEALER OR INVESTMENT ADVISER
- Section 30-14-408 - TERMINATION OF EMPLOYMENT OR ASSOCIATION OF AGENT AND INVESTMENT ADVISER REPRESENTATIVE AND TRANSFER OF EMPLOYMENT OR ASSOCIATION
- Section 30-14-409 - WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, INVESTMENT ADVISER AND INVESTMENT ADVISER REPRESENTATIVE
- Section 30-14-410 - FILING FEES
- Section 30-14-411 - POSTREGISTRATION REQUIREMENTS
- Section 30-14-412 - DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION OR LIMITATION OF REGISTRATION