Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers (451.2401...451.2413)

  1. Law
  2. Michigan Compiled Laws
  3. Securities, Real Estate, and Debt Management
  4. 551 of 2008 - Uniform Securities Act (2002) (451.2101 - 451.2703)
  5. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers (451.2401...451.2413)

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Section
451.2401

Broker-Dealer Registration; Requirements; Exemptions; Limitation on Employment or Association; Employment or Association With Certain Individuals Prohibited; Rule or Order.

Section
451.2402

Agent Registration; Requirements; Exemptions; Employment or Association; Acting as Agent for More Than 1 Broker-Dealer or Issuer; Exception.

Section
451.2403

Investment Advisor Registration; Requirements; Exemptions; Employment or Association With Certain Individuals Prohibited; Exception.

Section
451.2404

Investment Advisor Representative; Registration; Requirements; Exemption; Employment or Association; Transacting Business for More Than 1 Investment Adviser; Referral Fees.

Section
451.2405

Federal Covered Investment Adviser; Filing Requirements; Exceptions; Notice; Effectiveness of Filing.

Section
451.2406

Registration by Broker-Dealer, Agent, Investment Adviser, or Investment Adviser Representative; Application; Fee; Correcting Amendment; Effectiveness of Registration; Renewal; Other Conditions or Waivers.

Section
451.2407

Succession or Change in Registration of Broker-Dealer or Investment Adviser; Change in Organization, Name, or Control.

Section
451.2408

Termination of Employment or Association of Agent and Investment Adviser Representative; Notice; Other Employment or Association; Withdrawal of Temporary Registration; Power of Administrator to Prevent Transfer; Cancellation or Termination of Registration or Application; Reinstatement.

Section
451.2409

Withdrawal of Registration by Broker-Dealer, Agent, Investment Adviser, or Investment Adviser Representative.

Section
451.2410

Filing Fees.

Section
451.2411

Financial Requirements; Reports; Records; Audits or Inspections; Custody and Discretionary Authority Bond or Insurance; Furnishing Information to Clients; Continuing Education.

Section
451.2412

Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration; Discipline; Examination; Summary Actions; Liability of Control Person; Limitation on Proceeding.

Section
451.2413

Broker-Dealer Acting as Finder; Prohibited Conduct.