Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers (451.2401...451.2413)

Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers (451.2401...451.2413)

Section 451.2401 Broker-Dealer Registration; Requirements; Exemptions; Limitation on Employment or Association; Employment or Association With Certain Individuals Prohibited; Rule or Order.
Section 451.2402 Agent Registration; Requirements; Exemptions; Employment or Association; Acting as Agent for More Than 1 Broker-Dealer or Issuer; Exception.
Section 451.2403 Investment Advisor Registration; Requirements; Exemptions; Employment or Association With Certain Individuals Prohibited; Exception.
Section 451.2404 Investment Advisor Representative; Registration; Requirements; Exemption; Employment or Association; Transacting Business for More Than 1 Investment Adviser; Referral Fees.
Section 451.2405 Federal Covered Investment Adviser; Filing Requirements; Exceptions; Notice; Effectiveness of Filing.
Section 451.2406 Registration by Broker-Dealer, Agent, Investment Adviser, or Investment Adviser Representative; Application; Fee; Correcting Amendment; Effectiveness of Registration; Renewal; Other Conditions or Waivers.
Section 451.2407 Succession or Change in Registration of Broker-Dealer or Investment Adviser; Change in Organization, Name, or Control.
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.
Section 451.2409 Withdrawal of Registration by Broker-Dealer, Agent, Investment Adviser, or Investment Adviser Representative.
Section 451.2410 Filing Fees.
Section 451.2411 Financial Requirements; Reports; Records; Audits or Inspections; Custody and Discretionary Authority Bond or Insurance; Furnishing Information to Clients; Continuing Education.
Section 451.2412 Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration; Discipline; Examination; Summary Actions; Liability of Control Person; Limitation on Proceeding.
Section 451.2413 Broker-Dealer Acting as Finder; Prohibited Conduct.

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