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32 §16401. Broker-dealer licensing requirement and exemptions - §16401. Broker-dealer licensing requirement and exemptions 1. Licensing requirement. It...
32 §16402. Agent licensing requirement and exemptions - §16402. Agent licensing requirement and exemptions 1. Licensing requirement. It...
32 §16403. Investment adviser licensing requirement and exemptions - §16403. Investment adviser licensing requirement and exemptions 1. Licensing requirement....
32 §16404. Investment adviser representative licensing requirement and exemptions - §16404. Investment adviser representative licensing requirement and exemptions 1. Licensing...
32 §16405. Federal covered investment adviser notice filing requirement - §16405. Federal covered investment adviser notice filing requirement 1. Notice...
32 §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser representatives - §16406. Licensing of broker-dealers, agents, investment advisers and investment adviser...
32 §16407. Succession and change in licensing of broker-dealer or investment adviser - §16407. Succession and change in licensing of broker-dealer or investment...
32 §16408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association - §16408. Termination of employment or association of agent and investment...
32 §16409. Withdrawal or nonrenewal of licensing of broker-dealer, agent, investment adviser and investment adviser representative - §16409. Withdrawal or nonrenewal of licensing of broker-dealer, agent, investment...
32 §16410. Filing fees - §16410. Filing fees 1. Fees established by administrator. The administrator...
32 §16411. Postlicensing requirements - §16411. Postlicensing requirements 1. Financial requirements. A rule adopted or...
32 §16412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of licensing - §16412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of...