Chapter 20:08:03 - Broker-dealer and agent rules
- Section 20:08:03:01 - Registration for broker-dealers, broker-dealer agents, and agents of the issuer
- Section 20:08:03:02 - Record keeping requirements for broker-dealers
- Section 20:08:03:03 - Broker-dealer minimum financial requirements
- Section 20:08:03:04 - Net capital requirements of broker-dealers
- Section 20:08:03:05 - Waiver of certain broker-dealer records and financial requirements
- Section 20:08:03:06 - Dishonest and unethical practices, broker-dealer, broker-dealer agents
- Section 20:08:03:07 - Fraudulent practices of broker-dealers, broker-dealer agents, and agents of the issuer
- Section 20:08:03:07.01 - Certification and professional designations
- Section 20:08:03:08 - Written supervisory procedures
- Section 20:08:03:09 - Copies of complaints to be filed with director
- Section 20:08:03:10 - Notice of transfer of control or of name change
- Section 20:08:03:11 - Notice of net capital deficiency
- Section 20:08:03:12 - Notice required of opening or closing of branch office. Repealed
- Section 20:08:03:13 - Notice of thefts required
- Section 20:08:03:14 - Broker-dealer conduct on the premises of financial institutions
- Section 20:08:03:15 - Cross-border exemptions from registration for broker-dealers and agents
- Section 20:08:03:16 - Employee of the issuer exemption
- Section 20:08:03:17 - Finders
- Section 20:08:03:18 - Business brokers