Subchapter II. Broker-Dealers, Agents, Investment Advisers and Investment Adviser Representatives. § 31–5602.01. Licensing of broker-dealer and agent. § 31–5602.02. Licensing of investment adviser and investment adviser representative. § 31–5602.03. License and notice filing procedure. § 31–5602.04. Post-licensing requirements. § 31–5602.05. Licensing of successor firms. § 31–5602.06. Power of inspection, examination and audit. § 31–5602.07. Grounds for denial, suspension, or revocation. § 31–5602.08. Denial, suspension, or revocation on grounds of lack of qualification. § 31–5602.09. Withdrawal. § 31–5602.10. Limited registration of Canadian broker-dealers and agents. § 31–5602.11. Continuing education.
