Chapter DFI-Sec 4 - Registration of broker-dealers and agents
- Section DFI-Sec 4.01 - Registration procedure
- Section DFI-Sec 4.02 - Net capital requirements and aggregate indebtedness limitations
- Section DFI-Sec 4.03 - Broker-dealers' records
- Section DFI-Sec 4.04 - Reporting requirements
- Section DFI-Sec 4.05 - Practice rules
- Section DFI-Sec 4.06 - Prohibited conduct
- Section DFI-Sec 4.07 - Registration period
- Section DFI-Sec 4.08 - Withdrawal of registrations
- Section DFI-Sec 4.09 - Denial, suspension, revocation and censure
- Section DFI-Sec 4.10 - Registration exemptions