BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS

  1. Law
  2. Idaho Code
  3. CORPORATIONS
  4. UNIFORM SECURITIES ACT (2004)
  5. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS

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Section
30-14-401

BROKER-DEALER REGISTRATION REQUIREMENT AND EXEMPTIONS.

Section
30-14-402

AGENT REGISTRATION REQUIREMENT AND EXEMPTIONS.

Section
30-14-403

INVESTMENT ADVISER REGISTRATION REQUIREMENT AND EXEMPTIONS.

Section
30-14-404

INVESTMENT ADVISER REPRESENTATIVE REGISTRATION REQUIREMENT AND EXEMPTIONS.

Section
30-14-405

FEDERAL COVERED INVESTMENT ADVISER NOTICE FILING REQUIREMENT.

Section
30-14-406

REGISTRATION BY BROKER-DEALER, AGENT, INVESTMENT ADVISER, AND INVESTMENT ADVISER REPRESENTATIVE.

Section
30-14-407

SUCCESSION AND CHANGE IN REGISTRATION OF BROKER-DEALER OR INVESTMENT ADVISER.

Section
30-14-408

TERMINATION OF EMPLOYMENT OR ASSOCIATION OF AGENT AND INVESTMENT ADVISER REPRESENTATIVE AND TRANSFER OF EMPLOYMENT OR ASSOCIATION.

Section
30-14-409

WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, INVESTMENT ADVISER AND INVESTMENT ADVISER REPRESENTATIVE.

Section
30-14-410

FILING FEES.

Section
30-14-411

POSTREGISTRATION REQUIREMENTS.

Section
30-14-412

DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION OR LIMITATION OF REGISTRATION.