Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers | MidpageBroker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
45.56.300Broker-dealer registration requirement and exemptions45.56.310Limited registration of Canadian broker-dealers and agents45.56.320Registration exemption for merger and acquisition broker45.56.330Agent registration requirement and exemptions45.56.340Investment adviser registration requirement and exemptions45.56.350Investment adviser representative registration requirement and exemptions45.56.360Federal covered investment adviser notice filing requirement45.56.370Registration by broker-dealer, agent, investment adviser, and investment adviser representative45.56.380Succession and change in registration of broker-dealer or investment adviser45.56.390Termination of employment or association of agent and investment adviser representative and transfer of employment or association45.56.400Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative45.56.410Fees45.56.420Post registration requirements45.56.430Protecting older and vulnerable adults from financial exploitation45.56.440Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration