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2020 Delaware Code
Title 6 - Commerce and Trade
Chapter 73. Securities Act
Subchapter III. Provisions Relating to Broker-Dealers, Broker-Dealer Agents, Issuer Agents, Investment Advisers, Federal Covered Advisers, and Investment Adviser Representatives
- § 73-301 Unlawful conduct for broker-dealers, agents, investment advisers, federal covered advisers and investment adviser representatives.
- § 73-302 Registration and notice filing procedure for broker-dealers, agents, investment advisers, federal covered advisers and investment adviser representatives.
- § 73-303 Post-registration provisions for broker-dealers, investment advisers and federal covered advisers.
- § 73-304 Denial, revocation, suspension, cancellation and withdrawal of registration of broker-dealers, agents, investment advisers and investment adviser representatives.
- § 73-305 Advisory activities.
- § 73-306 Trading markets.
- § 73-307 Protection of vulnerable adults from financial exploitation.
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