There is a newer version of the Mississippi Code
2013 Mississippi Code
Title 75 - REGULATION OF TRADE, COMMERCE AND INVESTMENTS
Chapter 71 - MISSISSIPPI SECURITIES ACT OF 2009
Article 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- § 75-71-401 - Broker-dealer registration requirement and exemptions
- § 75-71-402 - Agent registration requirement and exemptions
- § 75-71-403 - Investment adviser registration requirement and exemptions
- § 75-71-404 - Investment adviser representative registration requirement and exemptions
- § 75-71-405 - Federal covered investment adviser notice filing requirement
- § 75-71-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- § 75-71-407 - Succession and change in registration of broker-dealer or investment adviser
- § 75-71-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- § 75-71-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
- § 75-71-410 - Fees
- § 75-71-411 - Postregistration requirements
- § 75-71-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration
Disclaimer: These codes may not be the most recent version. Mississippi 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.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.