New Jersey Administrative Code
Title 13 - LAW AND PUBLIC SAFETY
Chapter 47A - BUREAU OF SECURITIES
Subchapter 1 - BROKER-DEALERS
- Section 13:47A-1.1 - Application for registration for FINRA members
- Section 13:47A-1.2 - Application for registration for persons not eligible for registration via the CRD
- Section 13:47A-1.3 - Financial reports to supplement application
- Section 13:47A-1.4 - Reserved
- Section 13:47A-1.5 - Preparation and contents of financial statements
- Section 13:47A-1.6 - Minimum net capital
- Section 13:47A-1.7 - Bonds
- Section 13:47A-1.8 - Cash or securities in lieu of bond
- Section 13:47A-1.9 - Change of status; submission of form
- Section 13:47A-1.10 - Maintenance of books and records
- Section 13:47A-1.10A - Maintenance of sales and advertising material (broker-dealers)
- Section 13:47A-1.11 - Withdrawal of broker-dealer registration
- Section 13:47A-1.12 - Display of name
- Section 13:47A-1.13 - Application for successor
- Section 13:47A-1.14 - Supervision
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