All codes › Government Code › Title 12

Chapter 4004

Regulation of Dealers, Investment Advisers, Dealers' Agents, and Investment Adviser Representatives

Subchapter A. General Provisions

4004.001 Rules for Exemption from Registration Requirements 4004.002 Certain Displays or Advertisement of Registration Prohibited 4004.003 Display of Information Regarding Complaints

Subchapter B. Registration of Dealers and Investment Advisers

4004.051 Registration of Dealers Required 4004.052 Registration of Investment Advisers Required 4004.053 Application for Registration 4004.054 Issuance of Registration Certificate 4004.055 Form and Contents of Registration Certificate 4004.056 Temporary Permission to Engage in Business as Dealer or Investment Adviser 4004.057 Amendment of Registration Certificate 4004.058 Posting Registration Certificates

Subchapter C. Registration of Agents and Investment Adviser Representatives

4004.101 Registration of Agents 4004.102 Registration of Investment Adviser Representatives 4004.103 Application for Registration 4004.104 Issuance of Evidence of Registration 4004.105 Form and Contents of Evidence of Registration 4004.106 Cancellation of Registration

Subchapter D. Examination Requirements

4004.151 Examination Requirements 4004.152 Examination Results

Subchapter E. Denial or Revocation of Registration

4004.201 Denial of Registration 4004.202 Automatic Revocation of Registration of Agents and Investment Adviser Representatives After Revocation of Registration of Dealer or Investment Adviser

Subchapter F. Expiration and Renewal of Registration

4004.251 Expiration of Registration 4004.252 Renewal of Registration 4004.253 Staggered Renewal; Proration of Registration Renewal Fee 4004.254 Notice of Expiration Required 4004.255 Renewal of Expired Registration 4004.256 Effect of Expired Registration 4004.257 Continuing Education

Subchapter G. Notice Filings of Federal Covered Investment Advisers and Certain Representatives of Federal Covered Investment Advisers

4004.301 Applicability 4004.302 Notice Filing 4004.303 Effective Date of Notice Filing 4004.304 Renewal

Subchapter H. Requirements for Protection of Vulnerable Adults from Financial Exploitation

4004.351 Definitions 4004.352 Reporting Suspected Financial Exploitation of Vulnerable Adults 4004.353 Form and Content of Report 4004.354 Notifying Third Parties of Suspected Financial Exploitation of Vulnerable Adults 4004.355 Temporary Hold on Transactions in Certain Cases of Suspected Financial Exploitation of Vulnerable Adults 4004.356 Immunity 4004.357 Records