Subpart H - REGISTRATION OF DEALERS, SALESPERSONS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES

  1. § 130.805 - Exemptions From Registration as an Investment Adviser Under Section 8.A of the Act
  2. § 130.806 - Acts Not Requiring a Notification Filing of a Federal Covered Investment Adviser or Registration as an Investment Adviser or Investment Adviser Representative Under Section 8 of the Act
  3. § 130.810 - Procedures for Registration as a Dealer Under Section 8.B of the Act
  4. § 130.811 - Procedures for Perfecting an Investment Adviser Exemption under Section 2.11(6) of the Act (Repealed)
  5. § 130.820 - Procedures for Renewal and Withdrawal from Registration as a Dealer
  6. § 130.821 - Reporting of Dealer Branch Office Locations and Required Fees
  7. § 130.822 - Examinations Deemed Satisfactory for Purposes of Determining Sufficient Knowledge of Each Principal Under Section 8.B(9)(a) of the Act Prior to Registration as a Dealer
  8. § 130.823 - Procedure for Requesting Waiver of Dealer, Salesperson, Investment Adviser, Investment Adviser Representative, or Principal Examination Requirements
  9. § 130.824 - Financial Statements to be Filed by a Registered Dealer
  10. § 130.825 - Records Required of Dealers and Customer Fees
  11. § 130.826 - Registered Dealer Net Capital Requirements
  12. § 130.827 - Confirmations
  13. § 130.828 - Notice of Materially Adverse Financial Condition Required to Be Filed With the Securities Department By a Registered Dealer
  14. § 130.829 - Investor Protection Requirement of a Dealer Registered Under Section 8 of the Act
  15. § 130.830 - Registration Exemption for Merger and Acquisition Brokers Pursuant to Section 4(I) of the Act
  16. § 130.832 - Examinations Deemed Satisfactory for Purposes of Determining Sufficient Knowledge Under Section 8.C(7) of the Act for Registration as a Salesperson
  17. § 130.836 - Hardship Exemption
  18. § 130.837 - Transition to Electronic Filing
  19. § 130.838 - Procedures for Federal Covered Investment Adviser Notification Filing and Fees Under Section 8.C-5 of the Act
  20. § 130.839 - Procedures for Registration as an Investment Adviser Representative Under Section 8.D-5 of the Act
  21. § 130.840 - Procedures for Registration as an Investment Adviser Under Section 8.D of the Act
  22. § 130.841 - Reporting of Investment Adviser Branch Office Locations and Required Fees
  23. § 130.842 - Examinations and Education Programs Deemed Satisfactory for Purposes of Determining Sufficient Knowledge for Each Principal Under Section 8.D.(9) of the Act Prior to Registration as an Investment Adviser
  24. § 130.843 - Examination and Education Program Requirements for Registration as an Investment Adviser Representative Under Section 8.D-5 of the Act
  25. § 130.844 - Statement of Financial Condition to Be Filed By a Registered Investment Adviser Which Retains Custody of Client's Cash or Securities or Accepts Pre-Payment of Fees in Excess of $500.00 Per Client and Six (6) or More Months in Advance and Interim Financial Statements
  26. § 130.845 - Records Required of Investment Advisers
  27. § 130.846 - Written Disclosure Statements of a Registered Investment Adviser
  28. § 130.847 - Financial and Disciplinary Information That Investment Advisers Must Disclose to Clients
  29. § 130.848 - Advertisements by Investment Advisers
  30. § 130.849 - Consumer Information Privacy Provisions
  31. § 130.850 - Account Transactions
  32. § 130.851 - Commission, Profit or Other Compensation
  33. § 130.852 - Compensation
  34. § 130.853 - Account Transactions
  35. § 130.854 - Use of the Term "Investment Counsel"
  36. § 130.855 - Use of Senior Certifications and Professional Designations
  37. § 130.860 - Additional Fees Under Section 8 of the Act
  38. § 130.872 - Procedure with Respect to Abandoned Dealer Applications
  39. § 130.873 - Procedure with Respect to Abandoned Investment Adviser Applications
  40. § 130.874 - Business Continuity and Succession Planning

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