LICENSING OF BROKER-DEALERS, INVESTMENT ADVISERS AND SALESPERSONS
- Section 59.165 - Licensing of broker-dealers, investment advisers and salespersons required; rules
- Section 59.170 - [Repealed]
- Section 59.175 - Procedures for notice filing and licensing; rules; examination; bond, letter of credit or other security; insurance; filing trade name or assumed business name; fees
- Section 59.180 - [Repealed]
- Section 59.185 - Expiration of license; rules for renewal; change in personnel
- Section 59.190 - [Repealed]
- Section 59.193 - [Repealed]
- Section 59.195 - Licensees to keep records; inspection; filing of financial reports
- Section 59.200 - [Repealed]
- Section 59.205 - Grounds for denying, suspending, revoking or imposing condition or restriction on license
- Section 59.210 - [Repealed]
- Section 59.211 - [Repealed]
- Section 59.215 - Action against applicant or licensee for act or omission of associate; exceptions
- Section 59.220 - [Repealed]
- Section 59.225 - Cancellation of license or application; application for withdrawal; effect of suspension or revocation
- Section 59.230 - [Repealed]