Chapter 20. Broker-Dealers, Broker-Dealer Agents and Agents of the IssuerRead Chapter
- Part I.Read allBroker-Dealers
- Section 10
- Application for registration as a broker-dealer
- Section 20
- Expiration
- Section 30
- Renewals
- Section 40
- Updates and amendments
- Section 50
- Termination of registration
- Section 60
- Broker-dealer merger or consolidation
- Section 65
- Broker-dealer records retention requirements
- Section 70
- Examinations/qualifications
- Section 80
- Financial statements and reports
- Section 85
- Limited Canadian broker-dealer registration
- Part II.Read allBroker-Dealer Agents
- Section 90
- Application for registration as a broker-dealer agent
- Section 95
- Employment of an agent by more than one broker-dealer
- Section 100
- Expiration
- Section 110
- Renewals
- Section 120
- Updates and amendments
- Section 130
- Termination of registration
- Section 135
- Continuing commission by retiring agents
- Section 140
- Changing connection from one broker-dealer to another
- Section 150
- Examination/qualification
- Section 155
- Limited Canadian broker-dealer agent registration
- Part III.Read allAgents of the Issuer
- Section 160
- Application for registration as an agent of the issuer
- Section 170
- Expiration
- Section 180
- Renewals
- Section 190
- Updates and amendments
- Section 200
- Termination of registration
- Section 210
- Changing connection from one issuer to another
- Section 220
- Examination/qualification; waiver of examination requirement
- Section 225
- Inspection of records
- Part IV.Read allBroker-Dealer and Agent Regulations
- Section 230
- Notice of civil, criminal, administrative or arbitrational action
- Section 240
- Books and records of broker-dealers
- Section 250
- [Repealed]
- Section 260
- Supervision of agents
- Section 270
- [Repealed]
- Section 280
- Prohibited business conduct
- Section 285
- Customer notice for designated securities
- Section 290
- Financial responsibility
- Section 300
- Net worth
- Section 310
- Reserve requirements and custody of customer funds and securities
- Section 320
- Clerical or ministerial services
- Section 330
- Model rules for sales of securities at financial institutions