Rule 20:08:03 BROKER-DEALER AND AGENT RULES
BROKER-DEALER AND AGENT RULES
for broker-dealers, broker-dealer agents, and agents of the issuer.
keeping requirements for broker-dealers.
minimum financial requirements.
capital requirements of broker-dealers.
of certain broker-dealer records and financial requirements.
and unethical practices, broker-dealer, broker-dealer agents.
practices of broker-dealers, broker-dealer agents, and agents of the issuer.
and professional designations.
of complaints to be filed with director.
of transfer of control or of name change.
of net capital deficiency.
of thefts required.
conduct on the premises of financial institutions.
20:08:03:15 Cross-border exemptions from registration
for broker-dealers and agents.
of the issuer exemption.
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