Part 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section R. 451.4.1 - Broker-dealer; Canadian exemption
- Section R. 451.4.2 - Merger and acquisition broker exemption
- Section R. 451.4.3 - Electronic filing; designated entities
- Section R. 451.4.4 - Electronic signatures
- Section R. 451.4.5 - Registration exemption for investment advisers to private funds
- Section R. 451.4.6 - Notice filing requirements for federal covered investment advisers
- Section R. 451.4.7 - Application for registration by broker-dealers and agents representing broker-dealers
- Section R. 451.4.8 - Application for registration of Michigan investment market
- Section R. 451.4.9 - Broker-dealer and agents representing broker-dealers examination requirements
- Section R. 451.4.10 - Application for investment adviser registration
- Section R. 451.4.11 - Application for investment adviser representative registration
- Section R. 451.4.12 - Investment adviser and investment adviser representative examination requirements
- Section R. 451.4.13 - Custody prohibitions, limits, and conditions
- Section R. 451.4.14 - Bonding requirement for certain investment advisers
- Section R. 451.4.15 - Minimum financial requirements for broker-dealers
- Section R. 451.4.16 - Minimum financial requirements for Michigan investment markets. Rule 4.16
- Section R. 451.4.17 - Minimum financial requirements for investment advisers
- Section R. 451.4.18 - Financial statements
- Section R. 451.4.19 - Investment adviser brochure
- Section R. 451.4.20 - Proxy voting
- Section R. 451.4.21 - Investment adviser policies and procedures
- Section R. 451.4.22 - Records required to be maintained by broker-dealers
- Section R. 451.4.23 - Records required to be maintained by Michigan investment markets
- Section R. 451.4.24 - Records to be maintained by investment advisers
- Section R. 451.4.25 - Prohibited practices of investment advisers and investment adviser representatives
- Section R. 451.4.26 - Investment adviser contracts
- Section R. 451.4.27 - Dishonest or unethical business practices of broker-dealers and agents
- Section R. 451.4.28 - Use of senior-specific certifications and professional designations
- Section R. 451.4.29 - Investment adviser representative; continuing education