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§ 75-71-401. Broker-dealer registration requirement and exemptions - Registration requirement. It is unlawful for a person to transact...
§ 75-71-402. Agent registration requirement and exemptions - Registration requirement. It is unlawful for an individual to transact...
§ 75-71-403. Investment adviser registration requirement and exemptions - Registration requirement. It is unlawful for a person to transact...
§ 75-71-404. Investment adviser representative registration requirement and exemptions - Registration requirement. It is unlawful for an individual to transact...
§ 75-71-405. Federal covered investment adviser notice filing requirement - Notice filing requirement. Except with respect to a federal covered...
§ 75-71-406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative - Application for initial registration. A person shall register as a...
§ 75-71-407. Succession and change in registration of broker-dealer or investment adviser - Succession. A broker-dealer or investment adviser may succeed to the...
§ 75-71-408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association - Notice of termination. If an agent registered under this chapter...
§ 75-71-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative - Withdrawal of registration by a broker-dealer, agent, investment adviser, or...
§ 75-71-410. Fees - Fee established by administrator. The administrator shall establish fees by...
§ 75-71-411. Postregistration requirements - Financial requirements. Subject to Section 15(h) of the Securities Exchange...
§ 75-71-412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration - Disciplinary conditions-applicants.If the administrator finds that the order is in...
§ 75-71-413. Prevention of financial exploitation of vulnerable persons; certain broker-dealers and investment advisers required to file report under Mississippi Vulnerable Persons Act must forward copy of report to administrator; initiation of inter... - A broker-dealer registered or required to be registered under this...