Article 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 451.2401 - Broker-dealer registration; requirements; exemptions; limitation on employment or association; employment or association with certain individuals prohibited; rule or order
- Section 451.2402 - Agent registration; requirements; exemptions; employment or association; acting as agent for more than 1 broker-dealer or issuer; exception
- Section 451.2403 - Investment advisor registration; requirements; exemptions; employment or association with certain individuals prohibited; exception
- Section 451.2404 - Investment advisor representative; registration; requirements; exemption; employment or association; transacting business for more than 1 investment adviser; referral fees
- Section 451.2405 - Federal covered investment adviser; filing requirements; exceptions; notice; effectiveness of filing
- Section 451.2406 - Registration by broker-dealer, agent, investment adviser, or investment adviser representative; application; fee; correcting amendment; effectiveness of registration; renewal; other conditions or waivers
- Section 451.2407 - Succession or change in registration of broker-dealer or investment adviser; change in organization, name, or control
- Section 451.2408 - Termination of employment or association of agent and investment adviser representative; notice; other employment or association; withdrawal of temporary registration; power of administrator to prevent transfer; cancellation or termination of registration or application; reinstatement
- Section 451.2409 - Withdrawal of registration by broker-dealer, agent, investment adviser, or investment adviser representative
- Section 451.2410 - Filing fees
- Section 451.2411 - Financial requirements; reports; records; audits or inspections; custody and discretionary authority bond or insurance; furnishing information to clients; continuing education
- Section 451.2412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration; discipline; examination; summary actions; liability of control person; limitation on proceeding
- Section 451.2413 - Broker-dealer acting as finder; prohibited conduct