Chapter 830-X-3 - REGISTRATION OF DEALERS, AGENTS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES

  1. § 830-X-3-.01 - Application For Registration As A Dealer
  2. § 830-X-3-.02 - Application For Registration As An Agent
  3. § 830-X-3-.03 - Application For Registration As An Investment Adviser
  4. § 830-X-3-.04 - Application For Registration As An Investment Adviser Representative
  5. § 830-X-3-.05 - Statement Of Financial Condition
  6. § 830-X-3-.06 - Net Capital Required
  7. § 830-X-3-.07 - Repealed
  8. § 830-X-3-.08 - Written Examinations
  9. § 830-X-3-.09 - Dual Registration
  10. § 830-X-3-.10 - Notice Of Civil, Criminal Or Administrative Action Required
  11. § 830-X-3-.11 - Repealed
  12. § 830-X-3-.12 - Suitability Of Recommendations
  13. § 830-X-3-.13 - Supervision Of Associated Persons
  14. § 830-X-3-.14 - Records Required Of Registered Dealers
  15. § 830-X-3-.15 - Records To Be Preserved By Registered Dealers
  16. § 830-X-3-.16 - Record-Keeping Requirements For Investment Advisers
  17. § 830-X-3-.17 - Disclosure Requirements For Investment Advisers
  18. § 830-X-3-.18 - "Twisting" Or "Churning" Prohibited
  19. § 830-X-3-.19 - Custody Of Client Funds Or Securities By Investment Advisers
  20. § 830-X-3-.20 - Agency Cross Transactions
  21. § 830-X-3-.21 - Dishonest Or Unethical Practices By Investment Advisers
  22. § 830-X-3-.22 - Advertisements By Investment Advisers
  23. § 830-X-3-.23 - Change In Name Or Legal Entity
  24. § 830-X-3-.24 - Notice Of Changes Of Officers, Partners, Directors Or Controlling Persons
  25. § 830-X-3-.25 - Branch Offices
  26. § 830-X-3-.26 - Termination Of Registration As Dealer, Investment Adviser, Agent, Or Investment Adviser Representative
  27. § 830-X-3-.27 - Use Of Certain Names Prohibited
  28. § 830-X-3-.28 - The Use Of Senior-Specific Certifications And Professional Designations

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