Chapter: 26-B1
BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, AND INVESTMENT ADVISER REPRESENTATIVES  (Rename History)

Title: 26 INSURANCE, SECURITIES, AND BANKING
SubTitle: 26-B SECURITIES


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Section Number Section Heading Latest Version Effective Date
26-B100 [RESERVED] View text 1/1/1900
26-B101 INTERNET COMMUNICATIONS View text 1/1/1900
26-B102 BROKER-DEALER AND AGENT REGISTRATION AND LICENSING View text 1/1/1900
26-B103 EXAMINATIONS View text 1/1/1900
26-B104 FILING AND TRANSFER PROCEDURES View text 1/1/1900
26-B105 INCOMPLETE OR DEFICIENT APPLICATIONS View text 1/1/1900
26-B106 REAPPLICATION FOR AN AGENT OR BROKER-DEALER LICENSE View text 1/1/1900
26-B107 TERMINATION AND WITHDRAWAL OF REGISTRATION AS AN AGENT OF A BROKER-DEALER View text 1/1/1900
26-B108 RESERVED View text 12/6/2013
26-B109 RESERVED View text 12/6/2013
26-B110 RATIO OF AGGREGATE INDEBTEDNESS TO NET CAPITAL View text 1/1/1900
26-B111 MINIMUM NET CAPITAL View text 1/1/1900
26-B112 SURETY BOND View text 1/1/1900
26-B113 CONSENT TO SERVICE OF PROCESS View text 1/1/1900
26-B114 FILING OF A FINANCIAL STATEMENT View text 1/1/1900
26-B115 QUALIFICATIONS OF ACCOUNTANTS View text 1/1/1900
26-B116 RESERVED View text 1/1/1900
26-B117 RESERVED View text 1/1/1900
26-B118 FINANCIAL AND DISCIPLINARY INFORMATION THAT BROKER-DEALERS MUST DISCLOSE TO CLIENTS View text 1/1/1900
26-B119 PRACTICES DEEMED UNETHICAL OR DISHONEST FOR BROKER-DEALERS AND AGENTS View text 1/1/1900
26-B120 RECORDKEEPING REQUIREMENTS View text 1/1/1900
26-B121 EMPLOYMENT RECORDS View text 1/1/1900
26-B122 CUSTOMER RECORDS AND COMPLAINTS View text 1/1/1900
26-B123 PRESERVATION OF RECORDS View text 1/1/1900
26-B124 EXAMINATION PROCEDURES AND FEES View text 1/1/1900
26-B125 NO ACTION AND OPINION LETTERS View text 1/1/1900
26-B126 RESERVED View text 1/1/1900
26-B127 BACKGROUND CHECK REQUIREMENT View text 12/6/2013
26-B128 CONFIDENTIALITY View text 12/6/2013
26-B129 FINGERPRINT REQUIREMENT View text 12/6/2013
26-B130 FEES View text 12/6/2013
26-B131 RESERVED View text 1/1/1900
26-B132 RESERVED View text 1/1/1900
26-B133 RESERVED View text 1/1/1900
26-B134 RESERVED View text 1/1/1900
26-B135 RESERVED View text 1/1/1900
26-B136 RESERVED View text 1/1/1900
26-B137 RESERVED View text 1/1/1900
26-B138 RESERVED View text 1/1/1900
26-B139 RESERVED View text 1/1/1900
26-B140 RESERVED View text 1/1/1900
26-B141 RESERVED View text 1/1/1900
26-B142 RESERVED View text 1/1/1900
26-B143 RESERVED View text 1/1/1900
26-B144 RESERVED View text 1/1/1900
26-B145 RESERVED View text 1/1/1900
26-B146 RESERVED View text 1/1/1900
26-B147 RESERVED View text 1/1/1900
26-B148 RESERVED View text 1/1/1900
26-B149 RESERVED View text 1/1/1900
26-B150 NOTICE FILING FOR FEDERAL COVERED ADVISERS AND HEDGE FUND ADVISERS View text 1/1/1900
26-B151 INTERNET COMMUNICATIONS View text 1/1/1900
26-B152 INVESTMENT ADVISER LICENSING AND RENEWAL View text 1/1/1900
26-B153 DUTY TO AMEND INFORMATION PREVIOUSLY FILED View text 1/1/1900
26-B154 SOLICITORS View text 1/1/1900
26-B155 WITHDRAWAL FROM INVESTMENT ADVISER LICENSING View text 1/1/1900
26-B156 TERMINATION AND WITHDRAWAL OF REGISTRATION AS AN INVESTMENT ADVISER REPRESENTATIVE AND ASSOCIATED PERSON OF AN INVESTMENT ADVISER View text 1/1/1900
26-B157 HARDSHIP EXEMPTIONS View text 1/1/1900
26-B158 AMENDMENTS TO APPLICATION FOR LICENSING View text 1/1/1900
26-B159 INVESTMENT ADVISER REPRESENTATIVE LICENSING View text 1/1/1900
26-B160 EXAMINATION/QUALIFICATION REQUIREMENTS View text 1/1/2010
26-B161 RESERVED View text 12/6/2013
26-B162 FILING PROCEDURES View text 1/1/1900
26-B163 TRANSFER PROCEDURES View text 1/1/1900
26-B164 INCOMPLETE OR DEFICIENT FILINGS View text 1/1/1900
26-B165 RESERVED View text 1/1/1900
26-B166 RESERVED View text 12/6/2013
26-B167 EXEMPTION/SUBSECTION FOR CERTAIN BROKER-DEALERS View text 1/1/1900
26-B168 SUPERVISION View text 1/1/1900
26-B169 SENIOR-SPECIFIC CERTIFICATIONS, DESIGNATIONS, AND CREDENTIALS View text 7/30/2010
26-B170 RESERVED View text 1/1/1900
26-B171 RESERVED View text 1/1/1900
26-B172 WRITTEN DISCLOSURE STATEMENTS (BROCHURE RULE) View text 1/1/1900
26-B173 PERFORMANCE BASED COMPENSATION View text 1/1/1900
26-B174 FINANCIAL AND DISCIPLINARY INFORMATION THAT INVESTMENT ADVISERS MUST DISCLOSE TO CLIENTS View text 1/1/1900
26-B175 CUSTODY OR POSSESSION OF CLIENTS FUNDS OR SECURITIES View text 1/1/1900
26-B176 UNLAWFUL, UNETHICAL OR DISHONEST CONDUCT OR PRACTICES View text 1/1/1900
26-B177 AGENCY CROSS TRANSACTIONS View text 1/1/1900
26-B178 FINANCIAL STATEMENTS AND REPORTS View text 1/1/1900
26-B179 FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS View text 1/1/1900
26-B180 SURETY BOND View text 1/1/1900
26-B181 INVESTMENT ADVISER RECORDKEEPING View text 1/1/1900
26-B182 View text 1/1/1900
26-B183 RECORD RETENTION SCHEDULE View text 1/1/1900
26-B184 PRESERVATION AND MAINTENANCE OF INVESTMENT ADVISER RECORDS View text 1/1/1900
26-B185 EXAMINATION PROCEDURES AND FEES View text 1/1/1900
26-B186 INVESTMENT ADVISER OPINION AND NO ACTION LETTERS View text 1/1/1900
26-B187 RESERVED View text 1/1/1900
26-B199 DEFINITIONS View text 1/1/1900