Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

  1. Law
  2. US Virgin Islands Code
  3. Banking
  4. Uniform Securities Act
  5. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

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Section
631

Broker-dealer registration requirement and exemptions

Section
632

Agent registration requirement and exemptions

Section
633

Investment adviser registration requirement and exemptions

Section
634

Investment adviser representative registration requirement and exemptions

Section
635

Federal covered investment adviser notice filing requirement

Section
636

Registration by broker-dealers, agents, investment advisers, and investment adviser representatives

Section
637

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

Section
638

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

Section
639

Withdrawal of registration of broker-dealers, agents, investment advisers, and investment adviser representatives

Section
640

Filing fees

Section
641

Postregistration requirements

Section
642

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