Article 11 - GENERAL PROVISIONS RELATING TO AGENTS, BROKER-DEALERS AND INVESTMENT ADVISERS
- Section 260.240 - Consent to Service of Process
- Section 260.241 - Books and Records of Broker-Dealers
- Section 260.241.1 - Preservation of Records. [Repealed.]
- Section 260.241.2 - Reports by Broker-Dealers and Investment Advisers
- Section 260.241.3 - Books and Records to Be Maintained by Investment Advisers
- Section 260.241.4 - Notice of Changes by Broker-Dealer and Investment Adviser
- Section 260.241.5 - Notice of Complaint
- Section 260.241.6 - Quarterly Security Counts
- Section 260.242 - Surrender of Certificate as a Broker-Dealer or Investment Adviser