Section 451.2407 – Succession or Change in Registration of Broker-Dealer or Investment Adviser; Change in Organization, Name, or Control.
451.2407 Succession or change in registration of broker-dealer or investment adviser; change in organization, name, or control. Sec. 407. (1) A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed […]
Section 451.2408 – Termination of Employment or Association of Agent and Investment Adviser Representative; Notice; Other Employment or Association; Withdrawal of Temporary Registration; Power of Administrator to Prevent Transfer; Cancellation or Termination of Registration or Application; Reinstatement.
451.2408 Termination of employment or association of agent and investment adviser representative; notice; other employment or association; withdrawal of temporary registration; power of administrator to prevent transfer; cancellation or termination of registration or application; reinstatement. Sec. 408. (1) If an agent registered under this act terminates employment by or association with a broker-dealer or issuer, […]
Section 451.2409 – Withdrawal of Registration by Broker-Dealer, Agent, Investment Adviser, or Investment Adviser Representative.
451.2409 Withdrawal of registration by broker-dealer, agent, investment adviser, or investment adviser representative. Sec. 409. Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative is effective 60 days after an application to withdraw is filed or within a shorter period as provided by rule or order under this act, unless a […]