Subarticle 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 13-401 - Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives
- Section 13-402 - Exemptions for Certain Canadian Broker-Dealers
- Section 13-403 - Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Brochure Delivery
- Section 13-404 - Criminal Record Requirement for Agents and Investment Adviser Representatives
- Section 13-405 - Broker-Dealer Recordkeeping, Minimum Financial Reporting and Bonding Requirements
- Section 13-406 - Investment Adviser Minimum Capital and Bonding Requirements
- Section 13-407 - Cash or Security Deposits in Lieu of Surety Bond
- Section 13-408 - Recordkeeping Requirements for Investment Advisers
- Section 13-409 - Sole Proprietor Investment Advisers
- Section 13-410 - Investment Adviser Representatives Registered with Multiple Investment Advisers
- Section 13-411 - The Use of Senior-Specific Certifications and Professional Designations
- Section 13-412 - Fees
- Section 13-413 - Investment Adviser Information Security and Privacy
- Section 13-414 - Business Continuity and Succession Planning