Chapter 0780-04-03 - Industry Regulation
- Section 0780-04-03-.01 - REGISTRATION
- Section 0780-04-03-.02 - POST REGISTRATION
- Section 0780-04-03-.03 - OIL AND GAS ISSUER-DEALERS
- Section 0780-04-03-.04 - PERSONS DEEMED NOT TO BE BROKER-DEALERS
- Section 0780-04-03-.05 - EXEMPTIONS FROM INVESTMENT ADVISER REGISTRATION
- Section 0780-04-03-.06 - INVESTMENT ADVISER NOTICE FILINGS
- Section 0780-04-03-.07 - INVESTMENT ADVISER CUSTODY OR POSSESSION OF FUNDS OR SECURITIES OF CLIENTS
- Section 0780-04-03-.08 - INVESTMENT ADVISER FINANCIAL AND DISCIPLINARY DISCLOSURE
- Section 0780-04-03-.09 - ADVERTISEMENT BY INVESTMENT ADVISERS
- Section 0780-04-03-.10 - WRITTEN DISCLOSURE STATEMENTS BY INVESTMENT ADVISERS
- Section 0780-04-03-.11 - PERSONS DEEMED NOT TO BE "AGENTS"
- Section 0780-04-03-.12 - DEFINITION OF "CLIENT OF AN INVESTMENT ADVISER"
- Section 0780-04-03-.13 - CASH PAYMENTS FOR CLIENT SOLICITATIONS
- Section 0780-04-03-.14 - AGENCY CROSS TRANSACTIONS FOR INVESTMENT ADVISORY CLIENTS
- Section 0780-04-03-.15 - EXEMPTION FROM BROKER-DEALER REGISTRATION FOR CERTAIN CANADIAN BROKER-DEALERS
- Section 0780-04-03-.16 - CYBERSECURITY
- Section 0780-04-03-.17 - INVESTMENT ADVISER REPRESENTATIVE CONTINUING EDUCATION