Article 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 47-31B-401 - Broker-dealer registration requirement and exemptions
- Section 47-31B-402 - Agent registration requirement and exemptions
- Section 47-31B-403 - Investment adviser registration and exemptions
- Section 47-31B-404 - Investment adviser representative registration requirement and exemptions
- Section 47-31B-405 - Federal covered investment adviser notice filing requirement
- Section 47-31B-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- Section 47-31B-407 - Succession and change in registration of broker-dealer or investment advisor
- Section 47-31B-408 - Termination of employment or association of agent and investment adviser representative-Transfer of employment or association
- Section 47-31B-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
- Section 47-31B-410 - Filing fees
- Section 47-31B-411 - Postregistration requirements
- Section 47-31B-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration