Article 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 35-1-401 - Broker-dealer registration requirement; exemptions
- Section 35-1-402 - Agent registration requirement and exemptions
- Section 35-1-403 - Investment adviser registration requirement; exemptions
- Section 35-1-404 - Investment advisor representative registration requirement; exemptions
- Section 35-1-405 - Federal covered investment adviser notice filing requirement
- Section 35-1-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- Section 35-1-407 - Succession and change in registration of broker-dealer or investment adviser
- Section 35-1-408 - Termination of employment or association of agent and investment adviser representative; transfer of employment or association
- Section 35-1-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
- Section 35-1-410 - Examination and filing fee requirements
- Section 35-1-411 - Postregistration requirements
- Section 35-1-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration