Chapter 460-20C - Broker-dealers and salespersons of broker-dealers
- Section 460-20C-010 - Application of chapter
- Section 460-20C-015 - Cross-reference to other sections relating to broker-dealers and salespersons
- Section 460-20C-020 - Definitions
- Section 460-20C-025 - Filings made through the Central Registration Depository
- Section 460-20C-030 - Registration procedure
- Section 460-20C-035 - Canadian broker-dealers and salespersons
- Section 460-29C-040 - Examination requirements
- Section 460-20C-045 - Notice of termination of pending applications
- Section 460-20C-050 - Expiration and renewal of registration
- Section 460-20C-060 - Notice of changes by broker-dealers
- Section 460-20C-080 - Mass transfer of salespersons
- Section 460-20C-090 - Termination of broker-dealer registration
- Section 460-20C-100 - Termination of salesperson registration
- Section 460-20C-110 - Minimum net capital requirements for broker-dealers
- Section 460-20C-120 - Reserve and custody requirements
- Section 460-20C-130 - Books and records of broker-dealers
- Section 460-20C-140 - Financial reporting requirements
- Section 460-20C-150 - Supervision of salespersons and employees
- Section 460-20C-160 - Fraudulent practices of broker-dealers and salespersons
- Section 460-20C-170 - Excessive trading
- Section 460-20C-180 - Transmission or maintenance of payments received in connection with underwritings
- Section 460-20C-190 - Communications with the public
- Section 460-20C-200 - Deferred variable annuities
- Section 460-20C-210 - Dishonest or unethical practices-Broker-dealers
- Section 460-20C-220 - Dishonest or unethical practices-Salespersons