Section 409.4-409 – Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
Effective – 01 Sep 2003 409.4-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative. — Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective sixty days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or […]
Section 409.4-410 – Filing fees.
Effective – 01 Sep 2003 409.4-410. Filing fees. — (a) A person shall pay a fee of two hundred dollars when initially filing an application for registration as a broker-dealer and a fee of one hundred dollars when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, […]
Section 409.4-411 – Postregistration requirements.
Effective – 01 Sep 2003 409.4-411. Postregistration requirements. — (a) Subject to Section 15(h) of the Securities Exchange Act of 1934 (15 U.S.C. Section 78o(h)) or Section 222 of the Investment Advisers Act of 1940 (15 U.S.C. Section 80b-22), a rule adopted or order issued under this act may establish minimum financial requirements for broker-dealers […]
Section 409.4-412 – Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
Effective – 28 Aug 2020, 2 histories 409.4-412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration. — (a) If the commissioner finds that the order is in the public interest and subsection (d) authorizes the action, an order issued under this act may deny an application, or may condition or limit registration: (1) […]
Section 409.4-407 – Succession and change in registration of broker-dealer or investment adviser.
Effective – 01 Sep 2003 409.4-407. Succession and change in registration of broker-dealer or investment adviser. — (a) 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 to the […]
Section 409.4-408 – Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
Effective – 01 Sep 2003 409.4-408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association. — (a) If an agent registered under this act terminates employment by or association with a broker-dealer or issuer, or if an investment adviser representative registered under this act terminates employment by […]
Section 409.4-401 – Broker-dealer registration requirement and exemptions.
Effective – 01 Sep 2003 409.4-401. Broker-dealer registration requirement and exemptions. — (a) It is unlawful for a person to transact business in this state as a broker-dealer unless the person is registered under this act as a broker-dealer or is exempt from registration as a broker-dealer under subsection (b) or (d). (b) The following […]
Section 409.4-402 – Agent registration requirement and exemptions.
Effective – 01 Sep 2003 409.4-402. Agent registration requirement and exemptions. — (a) It is unlawful for an individual to transact business in this state as an agent unless the individual is registered under this act as an agent or is exempt from registration as an agent under subsection (b). (b) The following individuals are […]
Section 409.4-403 – Investment adviser registration requirement and exemptions.
Effective – 01 Sep 2003 409.4-403. Investment adviser registration requirement and exemptions. — (a) It is unlawful for a person to transact business in this state as an investment adviser unless the person is registered under this act as an investment adviser or is exempt from registration as an investment adviser under subsection (b). (b) […]
Section 409.4-404 – Investment adviser representative registration requirement and exemptions.
Effective – 01 Sep 2003 409.4-404. Investment adviser representative registration requirement and exemptions. — (a) It is unlawful for an individual to transact business in this state as an investment adviser representative unless the individual is registered under this act as an investment adviser representative or is exempt from registration as an investment adviser under […]