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Rule 20:08:03 BROKER-DEALER AND AGENT RULES

CHAPTER 20:08:03

 

BROKER-DEALER AND AGENT RULES

Section

20:08:03:01        Registration for broker-dealers, broker-dealer agents, and agents of the issuer.

20:08:03:02        Record keeping requirements for broker-dealers.

20:08:03:03        Broker-dealer minimum financial requirements.

20:08:03:04        Net capital requirements of broker-dealers.

20:08:03:05        Waiver of certain broker-dealer records and financial requirements.

20:08:03:06        Dishonest and unethical practices, broker-dealer, broker-dealer agents.

20:08:03:07        Fraudulent practices of broker-dealers, broker-dealer agents, and agents of the issuer.

20:08:03:07.01   Certification and professional designations.

20:08:03:08        Written supervisory procedures.

20:08:03:09        Copies of complaints to be filed with director.

20:08:03:10        Notice of transfer of control or of name change.

20:08:03:11        Notice of net capital deficiency.

20:08:03:12        Repealed.

20:08:03:13        Notice of thefts required.

20:08:03:14        Broker-dealer conduct on the premises of financial institutions.

20:08:03:15        Cross-border exemptions from registration for broker-dealers and agents.

20:08:03:16        Employee of the issuer exemption.

20:08:03:17        Finders.

20:08:03:18        Business brokers.


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