BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 80A.56 - SECTION 401; BROKER-DEALER REGISTRATION REQUIREMENT AND EXEMPTIONS
- Section 80A.57 - SECTION 402; AGENT REGISTRATION REQUIREMENT AND EXEMPTIONS
- Section 80A.58 - SECTION 403; INVESTMENT ADVISER REGISTRATION REQUIREMENT AND EXEMPTIONS
- Section 80A.60 - SECTION 405; FEDERAL COVERED INVESTMENT ADVISER NOTICE FILING REQUIREMENT
- Section 80A.61 - SECTION 406; REGISTRATION BY BROKER-DEALER, AGENT, FUNDING PORTAL, INVESTMENT ADVISER, AND INVESTMENT ADVISER REPRESENTATIVE
- Section 80A.62 - SECTION 407; SUCCESSION AND CHANGE IN REGISTRATION OF BROKER-DEALER OR INVESTMENT ADVISER
- Section 80A.63 - SECTION 408; TERMINATION OF EMPLOYMENT OR ASSOCIATION OF AGENT AND TRANSFER OF EMPLOYMENT OR ASSOCIATION
- Section 80A.64 - SECTION 409; WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, AND INVESTMENT ADVISER
- Section 80A.65 - SECTION 410; FEES AND EXPENSES
- Section 80A.66 - [Effective Until 1/1/2025] SECTION 411; POSTREGISTRATION REQUIREMENTS
- Section 80A.66 - [Effective 1/1/2025] SECTION 411; POSTREGISTRATION REQUIREMENTS
- Section 80A.67 - SECTION 412; DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION, OR LIMITATION OF REGISTRATION