1 Miss. Code R. 14-5 – Registration of Broker-Dealers | Midpage

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Mississippi Administrative Code

Chapter 5

1 Miss. Code R. 14-5

Registration of Broker-Dealers

SECRETARY OF STATE

5.01Application for Broker-Dealer 5.03Minimum Financial Requirements and Financial Reporting Requirements of BrokerDealers 5.05Bonding Requirements for Intrastate Broker-Dealers 5.07Change of Material Information; Amendments 5.09Financial Reporting 5.11Renewal of Registration 5.13Withdrawal of Registration 5.15Record Keeping Requirements of Broker-Dealers 5.17Preservation of Records 5.19Supervision 5.21Standards of Conduct 5.23Agent Registration and Termination (FINRA)5.25Agent Registration and Termination (non-FINRA)5.27Dual Registration 5.29Written Examinations 5.31Issuers and Issuer Agents 5.33Registration Exemption – Canadian Cross-Border Trading 5.35Registration Exemption for Merger and Acquisition Brokers