Chapter DFI-Sec4. Registration Of Broker-Dealers And Agents  


Section 4.01. Registration procedure.
Section 4.02. Net capital requirements and aggregate indebtedness limitations.
Section 4.03. Broker-dealers' records.
Section 4.04. Reporting requirements.
Section 4.05. Practice rules.
Section 4.06. Prohibited conduct.
Section 4.07. Registration period.
Section 4.08. Withdrawal of registrations.
Section 4.09. Denial, suspension, revocation and censure.
Section 4.10. Registration exemptions.

History

History: Cr. Register, December, 1977, No. 264 , eff. 1-1-78; am. (1), Register, December, 1979, No. 288 , eff. 1-1-80; am. (1) and (4) (b), r. (4) (c), renum. (4) (d) and (e) to be (4) (c) and (d), r. and recr. (5), renum. (7) to be SEC 4.05 (8), Register, December, 1980, No. 300 , eff. 1-1-81; am. (1) and (3), Register, December, 1981, No. 312 , eff. 1-1-82; am. (3), (5) and (6), r. (4) (a), renum. (4) (b) to (d) to be (4) (a) to (c), Register, December, 1982, No. 324 , eff. 1-1-83; am. (1) (a), renum. (2) to be (2) (a) and am., cr. (2) (b) and (7), r. and recr. (3), (4) and (5), Register, December, 1983, No. 336 , eff. 1-1-84; cr. (8), Register, December, 1985, No. 360 , eff. 1-1-86; am. (2) (b), Register, December, 1986, No. 372 , eff. 1-1-87; am. (3) (intro.) and cr. (3) (e) and (9), Register, December, 1988, No. 396 , eff. 1-1-89, except (9), eff. 2-1-89; renum. (2) (b) to (2) (c), cr. (2) (b), am. (4) (b), Register, December, 1990, No. 420 , eff. 1-1-91; am. (4) (b) and (5) (intro.), cr. (10), Register, December, 1992, No. 444 , eff. 1-1-93 ; r. and recr. (4) (b), am. (5) (intro.), Register, December, No. 468 , eff. 1-1-95; am. (3) (intro.) and (5) (intro.), renum. (4) (e) to be (4) (f), cr. (4) (e), Register, December, 1995, No. 480 , eff. 1-1-96; r. and recr. (3) (a), am. (3) (b) to (e) and (5) (a) to (d), cr. (3) (f) and (g), (4) (f) and (g) and (5) (e), renum. (4) (f) to be (4) (h), Register, December, 1999, No. 528 , eff. 1-1-00; CR 01-082 : am. (3) (intro.), cr. (3) (h), r. (5), renum. (6) to (10) to be (5) to (9), Register December 2001 No. 552 eff. 1-1-02; CR 08-077 : am. (title), (2), (3) (intro.), (a), (4) (a) to (d), (5), (7), (8) (intro.) and (d), renum. (1) to be (1) (a) and am. (1) (a) (intro.) and 2., cr. (1) (b) and (2) (d), r. and recr. (6), r. (9) Register December 2008 No. 636 , eff. 1-1-09; CR 09-056 : am. (3) (intro.) and (4) (e) to (g) Register December 2009 No. 648 , eff. 1-1-10; CR 10-062 : r. (4) (g) Register September 2010 No. 657 , eff. 10-1-10 .