LICENSING OF BROKER-DEALERS, SALES REPRESENTATIVES, INVESTMENT ADVISERS, REPRESENTATIVES OF INVESTMENT ADVISERS AND TRANSFER AGENTS
- Section 90.310 - Licensing of broker-dealers, sales representatives and transfer agents
- Section 90.320 - Exempt broker-dealers and sales representatives
- Section 90.330 - Licensing of investment advisers and representatives of investment advisers
- Section 90.340 - Exempt investment advisers and representatives of investment advisers
- Section 90.345 - Investment advisers to certain private funds exempt from licensing
- Section 90.350 - [Effective until the date of the repeal of 42 U.S.C. section 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings] Application
- Section 90.350 - [Effective on the date of the repeal of 42 U.S.C. section 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings] Application
- Section 90.360 - Licensing fees
- Section 90.370 - Examinations: Requirement for licensure; administration; waiver
- Section 90.372 - Eligibility of officer or director of issuer for waiver from examination for licensure as sales representative or broker-dealer
- Section 90.375 - [Effective until the date of the repeal of 42 U.S.C. section 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings] Application for issuance or renewal of license: Statement regarding obligation of child support required; grounds for denial of license; duty of Administrator
- Section 90.377 - Application for renewal of license to include information relating to state business license; denial of renewal for unpaid debt assigned to State Controller for collection
- Section 90.380 - [Effective until the date of the repeal of 42 U.S.C. section 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings] Licensing: General provisions
- Section 90.380 - [Effective on the date of the repeal of 42 U.S.C. section 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings] Licensing: General provisions
- Section 90.390 - Requirements after licensing
- Section 90.400 - Licensing of successor firms
- Section 90.410 - Power of inspection
- Section 90.415 - Fee for inspection of records
- Section 90.420 - Grounds for denial, suspension, revocation, fine or condition
- Section 90.425 - Unethical or dishonest practices: Use of certain certifications and professional designations
- Section 90.430 - Denial, suspension, revocation, fine or condition on grounds of lack of qualification
- Section 90.435 - [Effective until the date of the repeal of 42 U.S.C. Section 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings] Mandatory suspension of license for failure to pay child support or comply with certain subpoenas or warrants; reinstatement of license
- Section 90.440 - Withdrawal
- Section 90.450 - Custody of client's securities and money