Chapter 51 - Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives
- § 15 CSR 30-51.010 - General Instructions
- § 15 CSR 30-51.020 - Applications for Registration or Notice Filings
- § 15 CSR 30-51.030 - Examination Requirement
- § 15 CSR 30-51.040 - Financial Statements
- § 15 CSR 30-51.050 - Net Capital Requirements for Broker-Dealers
- § 15 CSR 30-51.060 - Broker-Dealer Notice of Net Capital Deficiency
- § 15 CSR 30-51.070 - Minimum Net Worth Requirements for Investment Advisers
- § 15 CSR 30-51.075 - Trusted Contact Requirements for Investment Advisers
- § 15 CSR 30-51.080 - Bonds (Rescinded)
- § 15 CSR 30-51.090 - Segregation of Accounts by Broker-Dealers
- § 15 CSR 30-51.100 - Custody of Securities or Funds by Investment Advisers
- § 15 CSR 30-51.110 - Confirmations
- § 15 CSR 30-51.120 - Records Required of Broker-Dealers
- § 15 CSR 30-51.130 - Records To Be Preserved by Broker-Dealers (Rescinded)
- § 15 CSR 30-51.140 - Records Required of and To Be Preserved by Investment Advisers
- § 15 CSR 30-51.145 - Compensation Arrangements Involving Investment Advisers
- § 15 CSR 30-51.150 - Records to be Preserved by Investment Advisers (Rescinded)
- § 15 CSR 30-51.160 - Effectiveness and Post-Effective Requirements
- § 15 CSR 30-51.165 - Networking Arrangements Between Broker-Dealers and Banks, Trust Companies or Savings Institutions
- § 15 CSR 30-51.169 - [Effective until 5/4/2025] Fraudulent Practices of Broker-Dealers and Agents
- § 15 CSR 30-51.169 - [Effective 5/4/2025] Fraudulent Practices of Broker-Dealers and Agents, version 2
- § 15 CSR 30-51.170 - [Effective until 5/4/2025] Dishonest or Unethical Business Practices by Broker-Dealers and Agents
- § 15 CSR 30-51.170 - [Effective 5/4/2025] Dishonest or Unethical Business Practices by Broker-Dealers and Agents, version 2
- § 15 CSR 30-51.171 - Supervision Guidelines for Broker-Dealers
- § 15 CSR 30-51.172 - [Effective until 5/4/2025] Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives
- § 15 CSR 30-51.172 - [Effective 5/4/2025] Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives, version 2
- § 15 CSR 30-51.173 - Supervision Guidelines for Investment Advisers
- § 15 CSR 30-51.174 - [Effective until 5/4/2025] Fraudulent Practices of Investment Advisers and Investment Adviser Representatives
- § 15 CSR 30-51.175 - Exclusion From Definition of Broker-Dealer
- § 15 CSR 30-51.180 - Exemptions from Registration for Broker- Dealers, Agents, Investment Advisers and Investment Adviser Representatives
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
- § 15 CSR 30-51.010 - General Instructions
- § 15 CSR 30-51.020 - Applications for Registration or Notice Filings
- § 15 CSR 30-51.030 - Examination Requirement
- § 15 CSR 30-51.040 - Financial Statements
- § 15 CSR 30-51.050 - Net Capital Requirements for Broker- Dealers
- § 15 CSR 30-51.060 - Broker-Dealer Notice of Net Capital Deficiency
- § 15 CSR 30-51.070 - Minimum Net Worth Requirements for Investment Advisers
- § 15 CSR 30-51.075 - Trusted Contact Requirements for Investment Advisers
- § 15 CSR 30-51.080 - Bonds
- § 15 CSR 30-51.090 - Segregation of Accounts by Broker-Dealers
- § 15 CSR 30-51.100 - Custody of Securities or Funds by Investment Advisers
- § 15 CSR 30-51.110 - Confirmations
- § 15 CSR 30-51.120 - Records Required of Broker-Dealers
- § 15 CSR 30-51.130 - [Rescinded]
- § 15 CSR 30-51.140 - Records Required of and To Be Preserved by Investment Advisers
- § 15 CSR 30-51.145 - Compensation Arrangements Involving Investment Advisers
- § 15 CSR 30-51.150 - Records to be Preserved by Investment Advisers
- § 15 CSR 30-51.160 - Effectiveness and Post-Effective Requirements
- § 15 CSR 30-51.165 - Networking Arrangements Between Broker-Dealers and Banks, Trust Companies or Savings Institutions
- § 15 CSR 30-51.169 - [Effective until 5/4/2025] Fraudulent Practices of Broker-Dealers and Agents
- § 15 CSR 30-51.169 - [Effective 5/4/2025] Fraudulent Practices of Broker-Dealers and Agents, version 2
- § 15 CSR 30-51.170 - [Effective until 5/4/2025] Dishonest or Unethical Business Practices by Broker-Dealers and Agents
- § 15 CSR 30-51.170 - [Effective 5/4/2025] Dishonest or Unethical Business Practices by Broker-Dealers and Agents, version 2
- § 15 CSR 30-51.171 - Supervision Guidelines for Broker-Dealers
- § 15 CSR 30-51.172 - [Effective until 5/4/2025] Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives
- § 15 CSR 30-51.172 - [Effective 5/4/2025] Dishonest or Unethical Business Practices by Investment Advisers and Investment Adviser Representatives, version 2
- § 15 CSR 30-51.173 - Supervision Guidelines for Investment Advisers
- § 15 CSR 30-51.174 - [Effective until 5/4/2025] Fraudulent Practices of Investment Advisers and Investment Adviser Representatives
- § 15 CSR 30-51.175 - Exclusion From Definition of Broker-Dealer
- § 15 CSR 30-51.180 - Exemptions from Registration for Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives