Article 4. Broker–Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
- § 1–401. Broker–Dealer Registration Requirement and Exemptions
- § 1–402. Agent Registration Requirement and Exemptions
- § 1–403. Investment Adviser Registration Requirement and Exemptions
- § 1–404. Investment Adviser Representative Registration Requirement and Exemptions
- § 1–405. Federal Covered Investment Adviser Notice Filing
- § 1–406. Registration Application—Time of Becoming Effective
- § 1–407. Succession and Change in Registration of Broker-Dealer or Investment Adviser
- § 1–408. Termination of Employment or Association of Agent and Investment Adviser Representative—Transfer of Employment or Association
- § 1–409. Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative
- § 1–410. Postregistration Requirements
- § 1–411. Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration