Part 4 - LICENSING AND REGULATION OF BROKER-DEALERS AND SALES REPRESENTATIVES
- Section 11-51-401 - Licensing and notice filing requirements
- Section 11-51-402 - Exempt broker-dealers, sales representatives - sanctions - exempt investment advisers and investment adviser representatives
- Section 11-51-403 - Application for license - notice filing requirements
- Section 11-51-404 - License and notice fees
- Section 11-51-405 - Examinations and alternate qualifications
- Section 11-51-406 - General provisions
- Section 11-51-407 - Operating requirements
- Section 11-51-408 - Licensing of successor firms
- Section 11-51-409 - Access to records
- Section 11-51-409.5 - Mandatory disclosure - investment advisers and investment adviser representatives
- Section 11-51-410 - Denial, suspension, or revocation
- Section 11-51-411 - Abandonment of license
- Section 11-51-412 - Withdrawal