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| § 551.401 |
Broker-dealer registration requirement and exemptions |
| § 551.402 |
Agent registration requirement and exemptions |
| § 551.403 |
Investment adviser registration requirement and exemptions |
| § 551.404 |
Investment adviser representative registration requirement and exemptions |
| § 551.405 |
Federal covered investment adviser notice filing requirement |
| § 551.406 |
Registration by broker-dealer, agent, investment adviser, and investment adviser representative |
| § 551.407 |
Succession and change in registration of broker-dealer or investment adviser |
| § 551.408 |
Termination of employment or association of agent and investment adviser representative and transfer of employment or association |
| § 551.409 |
Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative |
| § 551.411 |
Postregistration requirements |
| § 551.412 |
Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration |
