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Article 1 - General Provisions
and Definitions |
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Article 2 - Exemptions from registration of securities |
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Article 3 - Registration of securities and notice filing of Federal
Covered Securities |
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Article 4 - §401. Broker-dealer registration requirement and exemptions;
§402. Agent registration requirement and exemptions |
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Article 4 - §403. Investment Adviser registration requirement and
exemptions; §404. Investment Adviser representative registration
requirement and exemptions; §405. Federal Covered Investment Adviser
notice filing requirement. |
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Article 4 - §406. Registration by broker-dealer,
agent, investment adviser, and investment adviser representative. |
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Article 4 - §407. Succession and change in registration of broker-dealer
or investment adviser; §408. Termination of employment or association of
agent and investment adviser representative and transfer of employment
or association; §409. Withdrawal of registration of broker-dealer,
agent, investment adviser, and investment adviser representative; §410.
Filing fees. |
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Article 4 - § 411. Postregistration requirements; §412. Denial,
revocation, suspension, withdrawal, restriction, condition, or
limitation of registration. |
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Article 5 -Fraud and liabilities. |
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Article 6 - Administration and Judicial Review |
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Article 7 - Transition |
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Proposed modifications to Debenture Company Act with comparisons to
existing law. |
