ARTICLE 4 - REGISTRATION OF BROKER-DEALERS, AGENTS, AND INVESTMENT ADVISORS
- § 10-5-30 - Registration requirements for broker-dealers; exemptions
- § 10-5-31 - Registration requirements for agents; exemptions
- § 10-5-32 - Registration requirements for investment advisors; exemptions
- § 10-5-33 - Registration requirement for investment adviser representatives; exemptions
- § 10-5-34 - Registration requirements for federal covered investment advisers
- § 10-5-35 - Application; consent to service of process
- § 10-5-36 - Change of name; change of control
- § 10-5-37 - Notice of termination
- § 10-5-38 - Withdrawal of registration
- § 10-5-39 - Fees
- § 10-5-40 - Financial requirements
- § 10-5-41 - Denial of or placement of conditions or limitations on registration