§ 5405. Federal covered investment adviser notice filing requirement
§ 5405. Federal covered investment adviser notice filing requirement (a) Except with respect to a federal covered investment adviser described in subsection (b) of this section, 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 complies with […]
§ 5406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative
§ 5406. 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 5611 of this chapter, and paying the fee specified in section 5410 of this […]
§ 5407. Succession and change in registration of broker-dealer or investment adviser
§ 5407. 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 current registration of an investment […]
§ 5408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association
§ 5408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association (a) If an agent registered under this chapter terminates employment by or association with a broker-dealer or issuer, or if an investment adviser representative registered under this chapter terminates employment by or association with an investment […]
§ 5409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative
§ 5409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective 60 days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this chapter unless […]
§ 5410. Filing fees
§ 5410. Filing fees (a) A person shall pay a fee of $300.00 when initially filing an application for registration as a broker-dealer and a fee of $300.00 when filing a renewal of registration as a broker-dealer. A separate application in writing for branch office registration or renewal, accompanied by a filing fee of $120.00 […]
§ 5411. Postregistration requirements
§ 5411. Postregistration requirements (a) Subject to 15 U.S.C. § 78o(h) or 15 U.S.C. § 80b-22, a rule adopted or order issued under this chapter may establish minimum financial requirements for broker-dealers registered or required to be registered under this chapter and investment advisers registered or required to be registered under this chapter. (b) Subject […]
§ 5412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitations of registration
§ 5412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitations of registration (a) If the Commissioner finds that the order is in the public interest and subsection (d) of this section authorizes the action, an order issued under this chapter may deny an application, or may condition or limit registration of an applicant to be […]
§ 5403. Investment adviser registration requirement and exemptions
§ 5403. 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 chapter as an investment adviser or is exempt from registration as an investment adviser under subsection (b) of this section. (b) The following […]
§ 5404. Investment adviser representative registration requirement and exemptions
§ 5404. 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 chapter as an investment adviser representative or is exempt from registration as an investment adviser representative under subsection (b) of this […]