ARSD 20:08:03 – Broker-dealer and Agent Rules | Midpage

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Administrative Rules of South Dakota

Chapter 20:08:03

ARSD 20:08:03

Broker-dealer and Agent Rules

20:08:03:01Registration for broker-dealers, broker-dealer agents, and agents of the issuer.20:08:03:02Record keeping requirements for broker-dealers.20:08:03:03Broker-dealer minimum financial requirements.20:08:03:04Net capital requirements of broker-dealers.20:08:03:05Waiver of certain broker-dealer records and financial requirements.20:08:03:06Dishonest and unethical practices, broker-dealer, broker-dealer agents.20:08:03:07Fraudulent practices of broker-dealers, broker-dealer agents, and agents of the issuer.20:08:03:07.01Certifications and professional designations.20:08:03:08Written supervisory procedures.20:08:03:09Copies of complaints to be filed with director.20:08:03:10Notice of transfer of control or of name change.20:08:03:11Notice of net capital deficiency.20:08:03:13Notice of thefts required.20:08:03:14Broker-dealer conduct on the premises of financial institutions.20:08:03:15Cross-border exemptions from registration for broker-dealers and agents.20:08:03:16Employee of the issuer exemption.20:08:03:17Finders.20:08:03:18Business brokers.