Part II - LICENSING OF BROKER-DEALERS, SALES REPRESENTATIVES, AND INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
- Section 7-11-201 - Broker-dealer and sales representative licensing
- Section 7-11-202 - Exempt broker-dealers and sales representatives
- Section 7-11-203 - Investment adviser and investment adviser representative licensing
- Section 7-11-204 - Exempt investment advisers and investment adviser representatives
- Section 7-11-205 - Application
- Section 7-11-206 - Licensing and notice fees; and filing requirements for federal covered advisers
- Section 7-11-207 - Examinations
- Section 7-11-208 - Licensing
- Section 7-11-209 - Post-licensing requirements
- Section 7-11-210 - Licensing of successor firms
- Section 7-11-211 - Inspection power
- Section 7-11-212 - Grounds for denial, suspension, and revocation
- Section 7-11-213 - Denial, suspension, or revocation on grounds of lack of qualification
- Section 7-11-214 - Withdrawal
- Section 7-11-215 - Custody of clients' securities and funds