Chapter 51 - Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives

  1. § 15 CSR 30-51.010 - General Instructions
  2. § 15 CSR 30-51.020 - Applications for Registration or Notice Filings
  3. § 15 CSR 30-51.030 - Examination Requirement
  4. § 15 CSR 30-51.040 - Financial Statements
  5. § 15 CSR 30-51.050 - Net Capital Requirements for Broker- Dealers
  6. § 15 CSR 30-51.060 - Broker-Dealer Notice of Net Capital Deficiency
  7. § 15 CSR 30-51.070 - Minimum Net Worth Requirements for Investment Advisers
  8. § 15 CSR 30-51.075 - Trusted Contact Requirements for Investment Advisers
  9. § 15 CSR 30-51.080 - Bonds
  10. § 15 CSR 30-51.090 - Segregation of Accounts by Broker-Dealers
  11. § 15 CSR 30-51.100 - Custody of Securities or Funds by Investment Advisers
  12. § 15 CSR 30-51.110 - Confirmations
  13. § 15 CSR 30-51.120 - Records Required of Broker-Dealers
  14. § 15 CSR 30-51.130 - [Rescinded]
  15. § 15 CSR 30-51.140 - Records Required of and To Be Preserved by Investment Advisers
  16. § 15 CSR 30-51.145 - Compensation Arrangements Involving Investment Advisers
  17. § 15 CSR 30-51.150 - Records to be Preserved by Investment Advisers
  18. § 15 CSR 30-51.160 - Effectiveness and Post-Effective Requirements
  19. § 15 CSR 30-51.165 - Networking Arrangements Between Broker-Dealers and Banks, Trust Companies or Savings Institutions
  20. § 15 CSR 30-51.169 - Fraudulent Practices of Broker-Dealers and Agents
  21. § 15 CSR 30-51.170 - Dishonest or Unethical Business Practices by Broker-Dealers and Agents
  22. § 15 CSR 30-51.171 - Supervision Guidelines for Broker-Dealers
  23. § 15 CSR 30-51.172 - Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives
  24. § 15 CSR 30-51.173 - Supervision Guidelines for Investment Advisers
  25. § 15 CSR 30-51.175 - Exclusion From Definition of Broker-Dealer
  26. § 15 CSR 30-51.180 - Exemptions from Registration for Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives

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