Delaware Code
Chapter 73. SECURITIES ACT
Subchapter III. Provisions Relating to Broker-Dealers, Broker-Dealer Agents, Issuer Agents, Investment Advisers, Federal Covered Advisers, and Investment Adviser Representatives

§ 73-301. Unlawful conduct for broker-dealers, agents, investment advisers, federal covered advisers and investment adviser representatives. - (a) It is unlawful for any person to transact business...

§ 73-302. Registration and notice filing procedure for broker-dealers, agents, investment advisers, federal covered advisers and investment adviser representatives. - (a) A broker-dealer, agent, investment adviser or investment adviser representative...

§ 73-303. Post-registration provisions for broker-dealers, investment advisers and federal covered advisers. - (a) Every registered broker-dealer and investment adviser shall make and...

§ 73-304. Denial, revocation, suspension, cancellation and withdrawal of registration of broker-dealers, agents, investment advisers and investment adviser representatives. - (a) The Director may by order deny, suspend or revoke...

§ 73-305. Advisory activities. - (a) It is unlawful for an investment adviser, federal covered...

§ 73-306. Trading markets. - (a) It is unlawful for any broker-dealer, agent, investment adviser...

§ 73-307. Protection of vulnerable adults from financial exploitation. - (a) If a qualified individual reasonably believes that financial exploitation...