Broker-dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
502.401Broker-dealer registration requirement and exemptions502.402Agent registration requirement and exemptions502.403Investment adviser registration requirement and exemptions502.404Investment adviser representative registration requirement and exemptions502.405Federal covered investment adviser notice filing requirement502.406Registration by broker-dealer, agent, investment adviser, and investment adviser representative502.407Succession and change in registration of broker-dealer or investment adviser502.408Termination of employment or association of agent and investment adviser representative and transfer of employment or association502.409Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings502.410Filing fees502.411Postregistration requirements502.412Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration502.413 through 502.500ReservedRepealed