MCL - Index of 551-2008-4
NOTE: Dates reflect any modification to item, not necessarily a change in law.
| Title | Subject |
|---|---|
| 551-2008-4 | ARTICLE 4 BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS (451.2401...451.2413) |
| Section 451.2401 | Broker-dealer registration; requirements; exemptions; limitation on employment or association; employment or association with certain individuals prohibited; rule or order. |
| Section 451.2402 | Agent registration; requirements; exemptions; employment or association; acting as agent for more than 1 broker-dealer or issuer; exception. |
| Section 451.2403 | Investment advisor registration; requirements; exemptions; employment or association with certain individuals prohibited; exception. |
| Section 451.2404 | Investment advisor representative; registration; requirements; exemption; employment or association; transacting business for more than 1 investment adviser; referral fees. |
| Section 451.2405 | Federal covered investment adviser; filing requirements; exceptions; notice; effectiveness of filing. |
| Section 451.2406 | Registration by broker-dealer, agent, investment adviser, or investment adviser representative; application; fee; correcting amendment; effectiveness of registration; renewal; other conditions or waivers. |
| Section 451.2407 | Succession or change in registration of broker-dealer or investment adviser; change in organization, name, or control. |
| Section 451.2408 | Termination of employment or association of agent and investment adviser representative; notice; other employment or association; withdrawal of temporary registration; power of administrator to prevent transfer; cancellation or termination of registration or application; reinstatement. |
| Section 451.2409 | Withdrawal of registration by broker-dealer, agent, investment adviser, or investment adviser representative. |
| Section 451.2410 | Filing fees. |
| Section 451.2411 | Financial requirements; reports; records; audits or inspections; custody and discretionary authority bond or insurance; furnishing information to clients; continuing education. |
| Section 451.2412 | Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration; discipline; examination; summary actions; liability of control person; limitation on proceeding. |
| Section 451.2413 | Broker-dealer acting as finder; prohibited conduct. |