Article 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 75-71-401 - Broker-dealer registration requirement and exemptions
- Section 75-71-402 - Agent registration requirement and exemptions
- Section 75-71-403 - Investment adviser registration requirement and exemptions
- Section 75-71-404 - Investment adviser representative registration requirement and exemptions
- Section 75-71-405 - Federal covered investment adviser notice filing requirement
- Section 75-71-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- Section 75-71-407 - Succession and change in registration of broker-dealer or investment adviser
- Section 75-71-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- Section 75-71-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
- Section 75-71-410 - Fees
- Section 75-71-411 - Postregistration requirements
- Section 75-71-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration
- Section 75-71-413 - Prevention of financial exploitation of vulnerable persons; certain broker-dealers and investment advisers required to file report under Mississippi Vulnerable Persons Act must forward copy of report to administrator; initiation of internal review of suspected financial exploitation
- Section 75-71-415 through 75-71-431 - [Repealed]