South Carolina Code of Regulations
Chapter 13 - ATTORNEY GENERAL
Article 2 - SECURITIES
Subarticle 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- Section 13-401 - Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives
- Section 13-402 - Exemptions for Certain Canadian Broker-Dealers
- Section 13-403 - Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Brochure Delivery
- Section 13-404 - Criminal Record Requirement for Agents and Investment Adviser Representatives
- Section 13-405 - Broker-Dealer Recordkeeping, Minimum Financial Reporting and Bonding Requirements
- Section 13-406 - Investment Adviser Minimum Capital and Bonding Requirements
- Section 13-407 - Cash or Security Deposits in Lieu of Surety Bond
- Section 13-408 - Recordkeeping Requirements for Investment Advisers
- Section 13-409 - Sole Proprietor Investment Advisers
- Section 13-410 - Investment Adviser Representatives Registered with Multiple Investment Advisers
- Section 13-411 - The Use of Senior-Specific Certifications and Professional Designations
- Section 13-412 - Fees
- Section 13-413 - Investment Adviser Information Security and Privacy
- Section 13-414 - Business Continuity and Succession Planning
Disclaimer: These regulations may not be the most recent version. South Carolina may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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