Article 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 421-B:4-401 - Broker-Dealer Registration Requirements and Exemptions
- Section 421-B:4-402 - Agent Registration Requirements and Exemptions
- Section 421-B:4-403 - Investment Adviser Registration Requirements and Exemptions
- Section 421-B:4-404 - Investment Adviser Representative Registration Requirement and Exemptions
- Section 421-B:4-405 - Federal Covered Investment Adviser Notice Filing Requirement
- Section 421-B:4-406 - Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative
- Section 421-B:4-407 - Succession and Change in Registration of Broker-Dealer or Investment Adviser
- Section 421-B:4-408 - Termination of Employment or Association of Agent and Investment Adviser Representative and Transfer of Employment or Association
- Section 421-B:4-409 - Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative
- Section 421-B:4-410 - Filing Fees
- Section 421-B:4-411 - Postregistration Requirements
- Section 421-B:4-412 - Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration