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
35-1-401Broker-dealer registration requirement; exemptions35-1-402Agent registration requirement and exemptions35-1-403Investment adviser registration requirement; exemptions35-1-404Investment advisor representative registration requirement; exemptions35-1-405Federal covered investment adviser notice filing requirement35-1-406Registration by broker-dealer, agent, investment adviser, and investment adviser representative35-1-407Succession and change in registration of broker-dealer or investment adviser35-1-408Termination of employment or association of agent and investment adviser representative; transfer of employment or association35-1-409Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative35-1-410Examination and filing fee requirements35-1-411Postregistration requirements35-1-412Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration