Section 409.4-405 – Federal covered investment adviser notice filing requirement.
Effective – 01 Sep 2003 409.4-405. Federal covered investment adviser notice filing requirement. — (a) Except with respect to a federal covered investment adviser described in subsection (b), it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser […]
Section 409.4-406 – Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
Effective – 01 Sep 2003 409.4-406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative. — (a) A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service of process complying with section 409.6-611, and paying the fee specified in section 409.4-410 […]