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20:08:03Broker-Dealer And Agent Rules

Chapter · Administrative Rules of South Dakota · View on sdlegislature.gov ↗

Sections (19)

20:08:03:01Registration for broker-dealers, broker-dealer agents, and agents of the issuer.
20:08:03:02Record keeping requirements for broker-dealers.
20:08:03:03Broker-dealer
20:08:03:04Net capital requirements of broker-dealers.
20:08:03:05Waiver of certain broker-dealer records and
20:08:03:06Dishonest and
20:08:03:07Fraudulent practices of broker-dealers,
20:08:03:07.01Certifications
20:08:03:08Written supervisory procedures.
20:08:03:09Copies of complaints to be filed with director.
20:08:03:10Notice of transfer of control or of name change.
20:08:03:11Notice of net capital deficiency.
20:08:03:12Notice required of opening or closing of branch
20:08:03:13Notice
20:08:03:14Broker-dealer
20:08:03:15Cross-border
20:08:03:16Employee of the issuer exemption.
20:08:03:17Finders.
20:08:03:18Business brokers.