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