Chapter 26-B1 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, AND INVESTMENT ADVISER REPRESENTATIVES
- Rule 26-B100 - RESERVED
- Rule 26-B101 - INTERNET COMMUNICATIONS
- Rule 26-B102 - BROKER-DEALER AND AGENT REGISTRATION AND LICENSING
- Rule 26-B103 - EXAMINATIONS
- Rule 26-B104 - FILING AND TRANSFER PROCEDURES
- Rule 26-B105 - INCOMPLETE OR DEFICIENT APPLICATIONS
- Rule 26-B106 - REAPPLICATION FOR AN AGENT OR BROKER-DEALER LICENSE
- Rule 26-B107 - TERMINATION AND WITHDRAWAL OF REGISTRATION AS AN AGENT OF A BROKER-DEALER
- Rule 26-B108 - RESERVED
- Rule 26-B109 - RESERVED
- Rule 26-B110 - RATIO OF AGGREGATE INDEBTEDNESS TO NET CAPITAL
- Rule 26-B111 - MINIMUM NET CAPITAL
- Rule 26-B112 - SURETY BOND
- Rule 26-B113 - CONSENT TO SERVICE OF PROCESS
- Rule 26-B114 - FILING OF A FINANCIAL STATEMENT
- Rule 26-B115 - QUALIFICATIONS OF ACCOUNTANTS
- Rule 26-B116 - RESERVED
- Rule 26-B117 - RESERVED
- Rule 26-B118 - FINANCIAL AND DISCIPLINARY INFORMATION THAT BROKER-DEALERS MUST DISCLOSE TO CLIENTS
- Rule 26-B119 - PRACTICES DEEMED UNETHICAL OR DISHONEST FOR BROKER-DEALERS AND AGENTS
- Rule 26-B120 - RECORDKEEPING REQUIREMENTS
- Rule 26-B121 - EMPLOYMENT RECORDS
- Rule 26-B122 - CUSTOMER RECORDS AND COMPLAINTS
- Rule 26-B123 - PRESERVATION OF RECORDS
- Rule 26-B124 - EXAMINATION PROCEDURES AND FEES
- Rule 26-B125 - NO ACTION AND OPINION LETTERS
- Rule 26-B126 - RESERVED
- Rule 26-B127 - BACKGROUND CHECK REQUIREMENT
- Rule 26-B128 - CONFIDENTIALITY
- Rule 26-B129 - FINGERPRINT REQUIREMENT
- Rule 26-B130 - FEES
- Rule 26-B131 - RESERVED
- Rule 26-B132 - RESERVED
- Rule 26-B133 - RESERVED
- Rule 26-B134 - RESERVED
- Rule 26-B135 - RESERVED
- Rule 26-B136 - RESERVED
- Rule 26-B137 - RESERVED
- Rule 26-B138 - RESERVED
- Rule 26-B139 - RESERVED
- Rule 26-B140 - RESERVED
- Rule 26-B141 - RESERVED
- Rule 26-B142 - RESERVED
- Rule 26-B143 - RESERVED
- Rule 26-B144 - RESERVED
- Rule 26-B145 - RESERVED
- Rule 26-B146 - RESERVED
- Rule 26-B147 - RESERVED
- Rule 26-B148 - RESERVED
- Rule 26-B149 - RESERVED
- Rule 26-B150 - NOTICE FILING FOR FEDERAL COVERED ADVISERS AND HEDGE FUND ADVISERS
- Rule 26-B151 - INTERNET COMMUNICATIONS
- Rule 26-B152 - INVESTMENT ADVISER LICENSING AND RENEWAL
- Rule 26-B153 - DUTY TO AMEND INFORMATION PREVIOUSLY FILED
- Rule 26-B154 - SOLICITORS
- Rule 26-B155 - WITHDRAWAL FROM INVESTMENT ADVISER LICENSING
- Rule 26-B156 - TERMINATION AND WITHDRAWAL OF REGISTRATION AS AN INVESTMENT ADVISER REPRESENTATIVE AND ASSOCIATED PERSON OF AN INVESTMENT ADVISER
- Rule 26-B157 - HARDSHIP EXEMPTIONS
- Rule 26-B158 - AMENDMENTS TO APPLICATION FOR LICENSING
- Rule 26-B159 - INVESTMENT ADVISER REPRESENTATIVE LICENSING
- Rule 26-B160 - EXAMINATION/QUALIFICATION REQUIREMENTS
- Rule 26-B161 - INVESTMENT ADVISER REPRESENTATIVE CONTINUING EDUCATION REQUIREMENTS
- Rule 26-B162 - FILING PROCEDURES
- Rule 26-B163 - TRANSFER PROCEDURES
- Rule 26-B164 - INCOMPLETE OR DEFICIENT FILINGS
- Rule 26-B165 - RESERVED
- Rule 26-B166 - RESERVED
- Rule 26-B167 - EXEMPTION/SUBSECTION FOR CERTAIN BROKER-DEALERS
- Rule 26-B168 - SUPERVISION
- Rule 26-B169 - SENIOR-SPECIFIC CERTIFICATIONS, DESIGNATIONS, AND CREDENTIALS
- Rule 26-B170 - RESERVED
- Rule 26-B171 - RESERVED
- Rule 26-B172 - WRITTEN DISCLOSURE STATEMENTS (BROCHURE RULE)
- Rule 26-B173 - PERFORMANCE BASED COMPENSATION
- Rule 26-B174 - FINANCIAL AND DISCIPLINARY INFORMATION THAT INVESTMENT ADVISERS MUST DISCLOSE TO CLIENTS
- Rule 26-B175 - CUSTODY OR POSSESSION OF CLIENTS FUNDS OR SECURITIES
- Rule 26-B176 - UNLAWFUL, UNETHICAL OR DISHONEST CONDUCT OR PRACTICES
- Rule 26-B177 - AGENCY CROSS TRANSACTIONS
- Rule 26-B178 - FINANCIAL STATEMENTS AND REPORTS
- Rule 26-B179 - FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS
- Rule 26-B180 - SURETY BOND
- Rule 26-B181 - INVESTMENT ADVISER RECORDKEEPING
- Rule 26-B182
- Rule 26-B183 - RECORD RETENTION SCHEDULE
- Rule 26-B184 - PRESERVATION AND MAINTENANCE OF INVESTMENT ADVISER RECORDS
- Rule 26-B185 - EXAMINATION PROCEDURES AND FEES
- Rule 26-B186 - INVESTMENT ADVISER OPINION AND NO ACTION LETTERS
- Rule 26-B187 - RESERVED
- Rule 26-B199 - DEFINITIONS