Broker-dealers, Agents, Investment Advisers, and Investment Adviser Representatives | MidpageBroker-dealers, Agents, Investment Advisers, and Investment Adviser Representatives
35-1-415Certain broker-dealers and agents exempt from licensing requirements35-1-420Registration or exemption of investment advisers and investment adviser representatives35-1-430Duration of registrations; renewals35-1-440Applications for registration35-1-450Announcement of initial application35-1-460Effective date of registration35-1-470Registration of broker-dealer to include partners, officers or directors; registration of investment adviser to include investment adviser representatives35-1-480Fees35-1-485Repealed by 1997 Act No. 134, Section 1, eff June 13, 199735-1-490Registration of successors to broker-dealers or investment advisers35-1-500Minimum capital requirements for broker-dealers and minimum financial requirements for investment advisers35-1-501General fraud35-1-502Prohibited conduct in providing investment advice regarding securities35-1-503Evidentiary burden35-1-504Filing of sales and advertising literature35-1-505Misleading filings35-1-506Misrepresentations concerning registration or exemption35-1-507Qualified immunity35-1-508Criminal penalties35-1-509Civil liability35-1-510Rescission offers35-1-520Denial, suspension, or revocation of registration35-1-530Denial, suspension, or revocation of registration on ground of lack of qualifications; examinations35-1-540Repealed by 1997 Act No. 134, Section 1, eff June 13, 199735-1-550Summary temporary postponement or suspension of registration; hearing35-1-560Cancellation of registration or application35-1-570Withdrawal from registration; effect on revocation or suspension proceedings35-1-580Notice, opportunity for hearing, and written findings required35-1-590Records of broker-dealers and investment advisers35-1-595Requirement that certain information be disseminated with respect to investment advisers35-1-600Examination of records35-1-620Correcting information filed with Securities Commissioner