§ 130.805. Exemptions From Registration as an Investment Adviser Under Section 8.A of the Act

§ 130.806. Acts Not Requiring a Notification Filing of a Federal Covered Investment Adviser or Registration as an Investment Adviser or Investment Adviser Representative Under Section 8 of the Act

§ 130.810. Procedures for Registration as a Dealer Under Section 8.B of the Act

§ 130.811. Procedures for Perfecting an Investment Adviser Exemption under Section 2.11(6) of the Act [Repealed]

§ 130.820. Procedures for Renewal and Withdrawal from Registration as a Dealer

§ 130.821. Reporting of Dealer Branch Office Locations and Required Fees

§ 130.822. Examinations Deemed Satisfactory for Purposes of Determining Sufficient Knowledge of Each Principal Under Section 8.B(9)(a) of the Act Prior to Registration as a Dealer

§ 130.823. Procedure for Requesting Waiver of Dealer, Salesperson, Investment Adviser, Investment Adviser Representative, or Principal Examination Requirements

§ 130.824. Financial Statements to be Filed by a Registered Dealer

§ 130.825. Records Required of Dealers and Customer Fees

§ 130.826. Registered Dealer Net Capital Requirements

§ 130.827. Confirmations

§ 130.828. Notice of Materially Adverse Financial Condition Required to Be Filed With the Securities Department By a Registered Dealer

§ 130.829. Investor Protection Requirement of a Dealer Registered Under Section 8 of the Act

§ 130.830. Registration Exemption for Merger and Acquisition Brokers Pursuant to Section 4(I) of the Act

§ 130.832. Examinations Deemed Satisfactory for Purposes of Determining Sufficient Knowledge Under Section 8.C(7) of the Act for Registration as a Salesperson

§ 130.836. Hardship Exemption

§ 130.837. Transition to Electronic Filing

§ 130.838. Procedures for Federal Covered Investment Adviser Notification Filing and Fees Under Section 8.C-5 of the Act

§ 130.839. Procedures for Registration as an Investment Adviser Representative Under Section 8.D-5 of the Act

§ 130.840. Procedures for Registration as an Investment Adviser Under Section 8.D of the Act

§ 130.841. Reporting of Investment Adviser Branch Office Locations and Required Fees

§ 130.842. Examinations and Education Programs Deemed Satisfactory for Purposes of Determining Sufficient Knowledge for Each Principal Under Section 8.D.(9) of the Act Prior to Registration as an Investment Adviser

§ 130.843. Examination and Education Program Requirements for Registration as an Investment Adviser Representative Under Section 8.D-5 of the Act

§ 130.844. Statement of Financial Condition to Be Filed By a Registered Investment Adviser Which Retains Custody of Client's Cash or Securities or Accepts Pre-Payment of Fees in Excess of $500.00 Per Client and Six (6) or More Months in Advance and Interim Financial Statements

§ 130.845. Records Required of Investment Advisers

§ 130.846. Written Disclosure Statements of a Registered Investment Adviser

§ 130.847. Financial and Disciplinary Information That Investment Advisers Must Disclose to Clients

§ 130.848. Advertisements by Investment Advisers

§ 130.849. Consumer Information Privacy Provisions

§ 130.850. Account Transactions

§ 130.851. Commission, Profit or Other Compensation

§ 130.852. Compensation

§ 130.853. Account Transactions

§ 130.854. Use of the Term "Investment Counsel"

§ 130.855. Use of Senior Certifications and Professional Designations

§ 130.860. Additional Fees Under Section 8 of the Act

§ 130.872. Procedure with Respect to Abandoned Dealer Applications

§ 130.873. Procedure with Respect to Abandoned Investment Adviser Applications

§ 130.874. Business Continuity and Succession Planning