Chapter 830-X-3 - REGISTRATION OF DEALERS, AGENTS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- Section 830-X-3-.01 - Application For Registration As A Dealer
- Section 830-X-3-.02 - Application For Registration As An Agent
- Section 830-X-3-.03 - Application For Registration As An Investment Adviser
- Section 830-X-3-.04 - Application For Registration As An Investment Adviser Representative
- Section 830-X-3-.05 - Statement Of Financial Condition
- Section 830-X-3-.06 - Net Capital Required
- Section 830-X-3-.07 - Repealed
- Section 830-X-3-.08 - Written Examinations
- Section 830-X-3-.09 - Dual Registration
- Section 830-X-3-.10 - Notice Of Civil, Criminal Or Administrative Action Required
- Section 830-X-3-.11 - Repealed
- Section 830-X-3-.12 - Suitability Of Recommendations
- Section 830-X-3-.13 - Supervision Of Associated Persons
- Section 830-X-3-.14 - Records Required Of Registered Dealers
- Section 830-X-3-.15 - Records To Be Preserved By Registered Dealers
- Section 830-X-3-.16 - Record-Keeping Requirements For Investment Advisers
- Section 830-X-3-.17 - Disclosure Requirements For Investment Advisers
- Section 830-X-3-.18 - "Twisting" Or "Churning" Prohibited
- Section 830-X-3-.19 - Custody Of Client Funds Or Securities By Investment Advisers
- Section 830-X-3-.20 - Agency Cross Transactions
- Section 830-X-3-.21 - Dishonest Or Unethical Practices By Investment Advisers
- Section 830-X-3-.22 - Advertisements By Investment Advisers
- Section 830-X-3-.23 - Change In Name Or Legal Entity
- Section 830-X-3-.24 - Notice Of Changes Of Officers, Partners, Directors Or Controlling Persons
- Section 830-X-3-.25 - Branch Offices
- Section 830-X-3-.26 - Termination Of Registration As Dealer, Investment Adviser, Agent, Or Investment Adviser Representative
- Section 830-X-3-.27 - Use Of Certain Names Prohibited
- Section 830-X-3-.28 - The Use Of Senior-Specific Certifications And Professional Designations