Article 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 502.401 - Broker-dealer registration requirement and exemptions
- Section 502.402 - Agent registration requirement and exemptions
- Section 502.403 - Investment adviser registration requirement and exemptions
- Section 502.404 - Investment adviser representative registration requirement and exemptions
- Section 502.405 - Federal covered investment adviser notice filing requirement
- Section 502.406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- Section 502.407 - Succession and change in registration of broker-dealer or investment adviser
- Section 502.408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- Section 502.409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative - cessation of business - abandoned filings
- Section 502.410 - Filing fees
- Section 502.411 - Postregistration requirements
- Section 502.412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration
- Section 502.413 through 502.500 - Reserved