Article 4 - BUSINESS TRANSACTION REQUIREMENTS
- Section 10-5-30 - Registration requirements for broker-dealers; exemptions
- Section 10-5-31 - Registration requirements for agents; exemptions
- Section 10-5-32 - Registration requirements for investment advisors; exemptions
- Section 10-5-33 - Registration requirement for investment adviser representatives; exemptions
- Section 10-5-34 - Registration requirements for federal covered investment advisers
- Section 10-5-35 - [Effective Until 7/1/2024] Application; consent to service of process
- Section 10-5-35 - [Effective 7/1/2024] Application; consent to service of process
- Section 10-5-36 - Change of name; change of control
- Section 10-5-37 - Notice of termination
- Section 10-5-38 - Withdrawal of registration
- Section 10-5-39 - Fees
- Section 10-5-40 - Financial requirements
- Section 10-5-41 - Denial of or placement of conditions or limitations on registration