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South Carolina Code of Regulations
Chapter 13
Article 2
Subarticle 4
Subarticle 4. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
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13-401
Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives.
13-402
Exemptions for Certain Canadian Broker-Dealers.
13-403
Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Brochure Delivery.
13-404
Criminal Record Requirement for Agents and Investment Adviser Representatives.
13-405
Broker-Dealer Recordkeeping, Minimum Financial Reporting and Bonding Requirements.
13-406
Investment Adviser Minimum Capital and Bonding Requirements.
13-407
Cash or Security Deposits in Lieu of Surety Bond.
13-408
Recordkeeping Requirements for Investment Advisers.
13-409
Sole Proprietor Investment Advisers.
13-410
Investment Adviser Representatives Registered with Multiple Investment Advisers.
13-411
The Use of Senior-Specific Certifications and Professional Designations.
13-412
Fees.
13-413
Investment Adviser Information Security and Privacy.
13-414
Business Continuity and Succession Planning.
13-415
Registration Exemption for Investment Advisers to Private Funds.
13-416
Registration Exemption for Merger and Acquisition Brokers.