Subchapter II - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- Section 31-5602.01 - Licensing of broker-dealer and agent
- Section 31-5602.02 - Licensing of investment adviser and investment adviser representative
- Section 31-5602.03 - License and notice filing procedure
- Section 31-5602.04 - Post-licensing requirements
- Section 31-5602.05 - Licensing of successor firms
- Section 31-5602.06 - Power of inspection, examination and audit
- Section 31-5602.07 - Grounds for denial, suspension, or revocation
- Section 31-5602.08 - Denial, suspension, or revocation on grounds of lack of qualification
- Section 31-5602.09 - Withdrawal
- Section 31-5602.10 - Limited registration of Canadian broker-dealers and agents
- Section 31-5602.11 - Continuing education