Broker-dealers, agents, investment advisers, investment adviser representatives, and federal covered investment advisers

  1. Law
  2. Mississippi Code
  3. Regulation of Trade, Commerce and Investments
  4. Mississippi Securities Act of 2010
  5. Broker-dealers, agents, investment advisers, investment adviser representatives, and federal covered investment advisers

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Section
75-71-401

Broker-dealer registration requirement and exemptions

Section
75-71-402

Agent registration requirement and exemptions

Section
75-71-403

Investment adviser registration requirement and exemptions

Section
75-71-404

Investment adviser representative registration requirement and exemptions

Section
75-71-405

Federal covered investment adviser notice filing requirement

Section
75-71-406

Registration by broker-dealer, agent, investment adviser, and investment adviser representative

Section
75-71-407

Succession and change in registration of broker-dealer or investment adviser

Section
75-71-408

Termination of employment or association of agent and investment adviser representative and transfer of employment or association

Section
75-71-409

Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative

Section
75-71-410

Fees

Section
75-71-411

Postregistration requirements

Section
75-71-412

Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration

Section
75-71-413

Prevention of financial exploitation of vulnerable persons; certain broker-dealers and investment advisers required to file report under Mississippi Vulnerable Persons Act must forward copy of report to administrator; initiation of internal review of suspected financial exploitation

Sections
75-71-415 through 75-71-431

Repealed