REGISTRATION AND NOTICE FOR BROKER-DEALERS, SALESPERSONS, INVESTMENT ADVISERS, AND INVESTMENT ADVISER SALESPERSONS
- Section 21.20.040 - Registration and notification required-Exemptions
- Section 21.20.050 - Application for registration-Filing of documents-Consent to service of process-Fee
- Section 21.20.060 - Contents of application for registration-Capital requirements
- Section 21.20.070 - When registration effective-Requirements determined by rule
- Section 21.20.080 - Duration of registration-Association with issuer, broker-dealer, federal covered adviser, or investment adviser-Notice to director-Extension of licensing period
- Section 21.20.090 - Renewal of registration-Financial reports-Application for a successor
- Section 21.20.100 - Accounts, correspondence, memoranda, papers, books, and other records-Release of information-Correction of filed document-Examination
- Section 21.20.110 - Director may deny, suspend, revoke, restrict, condition, or limit any application or registration-Director may censure or fine registrant-Grounds-Procedures-Costs-Accounting
- Section 21.20.120 - Denial, suspension, revocation of registration-Order-Request for, notice of hearing-Findings and conclusions
- Section 21.20.130 - Cancellation of registration or application-Grounds
- Section 21.20.135 - License as salesperson or broker-dealer prerequisite to suit for commission