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Subchapter A. General Provisions
Section 4004.001. Rules for Exemption From Registration Requirements - Sec. 4004.001. RULES FOR EXEMPTION FROM REGISTRATION REQUIREMENTS. The board...
Section 4004.002. Certain Displays or Advertisement of Registration Prohibited - Sec. 4004.002. CERTAIN DISPLAYS OR ADVERTISEMENT OF REGISTRATION PROHIBITED. Except...
Section 4004.003. Display of Information Regarding Complaints - Sec. 4004.003. DISPLAY OF INFORMATION REGARDING COMPLAINTS. A dealer, agent,...
Subchapter B. Registration of Dealers and Investment Advisers
Section 4004.051. Registration of Dealers Required - Sec. 4004.051. REGISTRATION OF DEALERS REQUIRED. Except as provided by...
Section 4004.052. Registration of Investment Advisers Required - Sec. 4004.052. REGISTRATION OF INVESTMENT ADVISERS REQUIRED. Except as provided...
Section 4004.053. Application for Registration - Sec. 4004.053. APPLICATION FOR REGISTRATION. (a) To be registered, a...
Section 4004.054. Issuance of Registration Certificate - Sec. 4004.054. ISSUANCE OF REGISTRATION CERTIFICATE. The commissioner shall issue...
Section 4004.055. Form and Contents of Registration Certificate - Sec. 4004.055. FORM AND CONTENTS OF REGISTRATION CERTIFICATE. The registration...
Section 4004.056. Temporary Permission to Engage in Business as Dealer or Investment Adviser - Sec. 4004.056. TEMPORARY PERMISSION TO ENGAGE IN BUSINESS AS DEALER...
Section 4004.057. Amendment of Registration Certificate - Sec. 4004.057. AMENDMENT OF REGISTRATION CERTIFICATE. (a) A dealer or...
Section 4004.058. Posting Registration Certificates - Sec. 4004.058. POSTING REGISTRATION CERTIFICATES. On receipt of a registration...
Subchapter C. Registration of Agents and Investment Adviser Representatives
Section 4004.101. Registration of Agents - Sec. 4004.101. REGISTRATION OF AGENTS. (a) An agent may not,...
Section 4004.102. Registration of Investment Adviser Representatives - Sec. 4004.102. REGISTRATION OF INVESTMENT ADVISER REPRESENTATIVES. (a) A person...
Section 4004.103. Application for Registration - Sec. 4004.103. APPLICATION FOR REGISTRATION. The application described by Sections...
Section 4004.104. Issuance of Evidence of Registration - Sec. 4004.104. ISSUANCE OF EVIDENCE OF REGISTRATION. For each person...
Section 4004.105. Form and Contents of Evidence of Registration - Sec. 4004.105. FORM AND CONTENTS OF EVIDENCE OF REGISTRATION. The...
Section 4004.106. Cancellation of Registration - Sec. 4004.106. CANCELLATION OF REGISTRATION. On application by a registered...
Subchapter D. Examination Requirements
Section 4004.151. Examination Requirements - Sec. 4004.151. EXAMINATION REQUIREMENTS. (a) Except as provided by Subsection...
Section 4004.152. Examination Results - Sec. 4004.152. EXAMINATION RESULTS. (a) Except as provided by Subsection...
Subchapter E. Denial or Revocation of Registration
Section 4004.201. Denial of Registration - Sec. 4004.201. DENIAL OF REGISTRATION. The commissioner may deny an...
Section 4004.202. Automatic Revocation of Registration of Agents and Investment Adviser Representatives After Revocation of Registration of Dealer or Investment Adviser - Sec. 4004.202. AUTOMATIC REVOCATION OF REGISTRATION OF AGENTS AND INVESTMENT...
Subchapter F. Expiration and Renewal of Registration
Section 4004.251. Expiration of Registration - Sec. 4004.251. EXPIRATION OF REGISTRATION. Except as provided by Sections...
Section 4004.252. Renewal of Registration - Sec. 4004.252. RENEWAL OF REGISTRATION. (a) A person may renew...
Section 4004.253. Staggered Renewal; Proration of Registration Renewal Fee - Sec. 4004.253. STAGGERED RENEWAL; PRORATION OF REGISTRATION RENEWAL FEE. (a)...
Section 4004.254. Notice of Expiration Required - Sec. 4004.254. NOTICE OF EXPIRATION REQUIRED. Not later than the...
Section 4004.255. Renewal of Expired Registration - Sec. 4004.255. RENEWAL OF EXPIRED REGISTRATION. (a) A person whose...
Section 4004.256. Effect of Expired Registration - Sec. 4004.256. EFFECT OF EXPIRED REGISTRATION. A person who sells...
Section 4004.257. Continuing Education - Sec. 4004.257. CONTINUING EDUCATION. (a) The board may recognize, prepare,...
Subchapter G. Notice Filings of Federal Covered Investment Advisers and Certain Representatives of Federal Covered Investment Advisers
Section 4004.301. Applicability - Sec. 4004.301. APPLICABILITY. This subchapter does not apply to an...
Section 4004.302. Notice Filing - Sec. 4004.302. NOTICE FILING. The board by rule shall authorize...
Section 4004.303. Effective Date of Notice Filing - Sec. 4004.303. EFFECTIVE DATE OF NOTICE FILING. On the commissioner's...
Section 4004.304. Renewal - Sec. 4004.304. RENEWAL. A federal covered investment adviser or a...
Subchapter H. Requirements for Protection of Vulnerable Adults From Financial Exploitation
Section 4004.351. Definitions - Sec. 4004.351. DEFINITIONS. In this subchapter: (1) "Department" means the...
Section 4004.352. Reporting Suspected Financial Exploitation of Vulnerable Adults - Sec. 4004.352. REPORTING SUSPECTED FINANCIAL EXPLOITATION OF VULNERABLE ADULTS. (a)...
Section 4004.353. Form and Content of Report - Sec. 4004.353. FORM AND CONTENT OF REPORT. The board by...
Section 4004.354. Notifying Third Parties of Suspected Financial Exploitation of Vulnerable Adults - Sec. 4004.354. NOTIFYING THIRD PARTIES OF SUSPECTED FINANCIAL EXPLOITATION OF...
Section 4004.355. Temporary Hold on Transactions in Certain Cases of Suspected Financial Exploitation of Vulnerable Adults - Sec. 4004.355. TEMPORARY HOLD ON TRANSACTIONS IN CERTAIN CASES OF...
Section 4004.356. Immunity - Sec. 4004.356. IMMUNITY. (a) A securities professional or person serving...
Section 4004.357. Records - Sec. 4004.357. RECORDS. To the extent permitted by state or...