Chapter
4004
Regulation of Dealers, Investment Advisers, Dealers' Agents, and Investment Adviser Representatives
Sections
4004.001
Rules for Exemption from Registration Requirements
4004.002
Certain Displays or Advertisement of Registration Prohibited
4004.003
Display of Information Regarding Complaints
4004.051
Registration of Dealers Required
4004.052
Registration of Investment Advisers Required
4004.053
Application for Registration
4004.054
Issuance of Registration Certificate
4004.055
Form and Contents of Registration Certificate
4004.056
Temporary Permission to Engage in Business as Dealer or Investment Adviser
4004.057
Amendment of Registration Certificate
4004.058
Posting Registration Certificates
4004.101
Registration of Agents
4004.102
Registration of Investment Adviser Representatives
4004.103
Application for Registration
4004.104
Issuance of Evidence of Registration
4004.105
Form and Contents of Evidence of Registration
4004.106
Cancellation of Registration
4004.151
Examination Requirements
4004.152
Examination Results
4004.201
Denial of Registration
4004.202
Automatic Revocation of Registration of Agents and Investment Adviser Representatives After Revocation of Registration of Dealer or Investment Adviser
4004.251
Expiration of Registration
4004.252
Renewal of Registration
4004.253
Staggered Renewal; Proration of Registration Renewal Fee
4004.254
Notice of Expiration Required
4004.255
Renewal of Expired Registration
4004.256
Effect of Expired Registration
4004.257
Continuing Education
4004.301
Applicability
4004.302
Notice Filing
4004.303
Effective Date of Notice Filing
4004.304
Renewal
4004.351
Definitions
4004.352
Reporting Suspected Financial Exploitation of Vulnerable Adults
4004.353
Form and Content of Report
4004.354
Notifying Third Parties of Suspected Financial Exploitation of Vulnerable Adults
4004.355
Temporary Hold on Transactions in Certain Cases of Suspected Financial Exploitation of Vulnerable Adults
4004.356
Immunity
4004.357
Records
