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26-B100
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[RESERVED]
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1/1/1900
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26-B101
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INTERNET COMMUNICATIONS
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1/1/1900
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26-B102
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BROKER-DEALER AND AGENT REGISTRATION AND LICENSING
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1/1/1900
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26-B103
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EXAMINATIONS
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1/1/1900
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26-B104
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FILING AND TRANSFER PROCEDURES
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1/1/1900
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26-B105
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INCOMPLETE OR DEFICIENT APPLICATIONS
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1/1/1900
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26-B106
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REAPPLICATION FOR AN AGENT OR BROKER-DEALER LICENSE
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1/1/1900
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26-B107
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TERMINATION AND WITHDRAWAL OF REGISTRATION AS AN AGENT OF A BROKER-DEALER
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1/1/1900
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26-B108
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RESERVED
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12/6/2013
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26-B109
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RESERVED
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12/6/2013
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26-B110
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RATIO OF AGGREGATE INDEBTEDNESS TO NET CAPITAL
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1/1/1900
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26-B111
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MINIMUM NET CAPITAL
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1/1/1900
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26-B112
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SURETY BOND
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1/1/1900
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26-B113
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CONSENT TO SERVICE OF PROCESS
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1/1/1900
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26-B114
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FILING OF A FINANCIAL STATEMENT
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1/1/1900
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26-B115
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QUALIFICATIONS OF ACCOUNTANTS
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1/1/1900
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26-B116
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RESERVED
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1/1/1900
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26-B117
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RESERVED
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1/1/1900
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26-B118
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FINANCIAL AND DISCIPLINARY INFORMATION THAT BROKER-DEALERS MUST DISCLOSE TO CLIENTS
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1/1/1900
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26-B119
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PRACTICES DEEMED UNETHICAL OR DISHONEST FOR BROKER-DEALERS AND AGENTS
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1/1/1900
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26-B120
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RECORDKEEPING REQUIREMENTS
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1/1/1900
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26-B121
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EMPLOYMENT RECORDS
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1/1/1900
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26-B122
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CUSTOMER RECORDS AND COMPLAINTS
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1/1/1900
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26-B123
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PRESERVATION OF RECORDS
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1/1/1900
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26-B124
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EXAMINATION PROCEDURES AND FEES
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1/1/1900
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26-B125
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NO ACTION AND OPINION LETTERS
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1/1/1900
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26-B126
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RESERVED
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1/1/1900
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26-B127
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BACKGROUND CHECK REQUIREMENT
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12/6/2013
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26-B128
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CONFIDENTIALITY
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12/6/2013
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26-B129
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FINGERPRINT REQUIREMENT
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12/6/2013
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26-B130
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FEES
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12/6/2013
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26-B131
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RESERVED
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1/1/1900
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26-B132
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RESERVED
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1/1/1900
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26-B133
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RESERVED
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1/1/1900
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26-B134
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RESERVED
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1/1/1900
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26-B135
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RESERVED
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1/1/1900
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26-B136
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RESERVED
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1/1/1900
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26-B137
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RESERVED
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1/1/1900
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26-B138
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RESERVED
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1/1/1900
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26-B139
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RESERVED
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1/1/1900
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26-B140
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RESERVED
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1/1/1900
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26-B141
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RESERVED
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1/1/1900
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26-B142
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RESERVED
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1/1/1900
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26-B143
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RESERVED
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1/1/1900
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26-B144
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RESERVED
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1/1/1900
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26-B145
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RESERVED
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1/1/1900
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26-B146
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RESERVED
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1/1/1900
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26-B147
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RESERVED
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1/1/1900
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26-B148
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RESERVED
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1/1/1900
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26-B149
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RESERVED
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1/1/1900
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26-B150
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NOTICE FILING FOR FEDERAL COVERED ADVISERS AND HEDGE FUND ADVISERS
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1/1/1900
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26-B151
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INTERNET COMMUNICATIONS
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1/1/1900
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26-B152
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INVESTMENT ADVISER LICENSING AND RENEWAL
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1/1/1900
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26-B153
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DUTY TO AMEND INFORMATION PREVIOUSLY FILED
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1/1/1900
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26-B154
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SOLICITORS
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1/1/1900
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26-B155
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WITHDRAWAL FROM INVESTMENT ADVISER LICENSING
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1/1/1900
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26-B156
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TERMINATION AND WITHDRAWAL OF REGISTRATION AS AN INVESTMENT ADVISER REPRESENTATIVE AND ASSOCIATED PERSON OF AN INVESTMENT ADVISER
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1/1/1900
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26-B157
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HARDSHIP EXEMPTIONS
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1/1/1900
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26-B158
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AMENDMENTS TO APPLICATION FOR LICENSING
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1/1/1900
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26-B159
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INVESTMENT ADVISER REPRESENTATIVE LICENSING
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7/1/2022
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26-B160
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EXAMINATION/QUALIFICATION REQUIREMENTS
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1/1/2010
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26-B161
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INVESTMENT ADVISER REPRESENTATIVE CONTINUING EDUCATION REQUIREMENTS
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7/1/2022
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26-B162
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FILING PROCEDURES
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1/1/1900
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26-B163
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TRANSFER PROCEDURES
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1/1/1900
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26-B164
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INCOMPLETE OR DEFICIENT FILINGS
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1/1/1900
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26-B165
|
RESERVED
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1/1/1900
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26-B166
|
RESERVED
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12/6/2013
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26-B167
|
EXEMPTION/SUBSECTION FOR CERTAIN BROKER-DEALERS
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1/1/1900
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26-B168
|
SUPERVISION
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1/1/1900
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26-B169
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SENIOR-SPECIFIC CERTIFICATIONS, DESIGNATIONS, AND CREDENTIALS
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7/30/2010
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26-B170
|
RESERVED
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1/1/1900
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26-B171
|
RESERVED
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1/1/1900
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26-B172
|
WRITTEN DISCLOSURE STATEMENTS (BROCHURE RULE)
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1/1/1900
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26-B173
|
PERFORMANCE BASED COMPENSATION
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1/1/1900
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26-B174
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FINANCIAL AND DISCIPLINARY INFORMATION THAT INVESTMENT ADVISERS MUST DISCLOSE TO CLIENTS
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1/1/1900
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26-B175
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CUSTODY OR POSSESSION OF CLIENTS FUNDS OR SECURITIES
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1/1/1900
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26-B176
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UNLAWFUL, UNETHICAL OR DISHONEST CONDUCT OR PRACTICES
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1/1/1900
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26-B177
|
AGENCY CROSS TRANSACTIONS
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1/1/1900
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26-B178
|
FINANCIAL STATEMENTS AND REPORTS
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1/1/1900
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26-B179
|
FINANCIAL REQUIREMENTS FOR INVESTMENT ADVISERS
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1/1/1900
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26-B180
|
SURETY BOND
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1/1/1900
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26-B181
|
INVESTMENT ADVISER RECORDKEEPING
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1/1/1900
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26-B182
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1/1/1900
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26-B183
|
RECORD RETENTION SCHEDULE
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1/1/1900
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26-B184
|
PRESERVATION AND MAINTENANCE OF INVESTMENT ADVISER RECORDS
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1/1/1900
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26-B185
|
EXAMINATION PROCEDURES AND FEES
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1/1/1900
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26-B186
|
INVESTMENT ADVISER OPINION AND NO ACTION LETTERS
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1/1/1900
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26-B187
|
RESERVED
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1/1/1900
|
|
26-B199
|
DEFINITIONS
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7/1/2022
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