section .1400 - REGISTRATION OF DEALERS AND SALESMEN | Midpage

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North Carolina Administrative Code

§ 1400

section .1400 - REGISTRATION OF DEALERS AND SALESMEN

.1401Application for Registration of Dealers .1402Application for Registration of Salesmen .1403Termination of Registration of Dealer .1404Change in Name of Dealer .1405Dealer Merger/Consolidation/Acquisition/Succession .1406Expiration and Renewal of Dealer Registration .1407Expiration and Renewal of Salesman's Registration .1408Termination of Salesman's Registration .1409Transfer of Salesman's Registration .1410Minimum Financial Requirements for Dealers .1411Record Keeping Requirements for Dealers .1412Financial Statements .1413Salesman Examination Required .1414Dishonest/Unethical Practices of Dealers and Salesmen .1415Registration of Partners/Executive Officers/Directors .1416Reporting Requirements of Dealers and Salesmen .1417Application for Limited Registration of Canadian Securities Dealers and Salesmen