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2025 Mississippi Code 1972
Title 75 - Regulation of Trade, Commerce and Investments (Chs. 1 - 103)
Chapter 71 - Mississippi Securities Act of 2010 (§§ 75-71-1 - 75-71-735)
Article 4 - Broker-dealers, agents, investment advisers, investment adviser representatives, and federal covered investment advisers (§§ 75-71-401 - 75-71-431)
- § 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
- § 75-71-413. Prevention of financial exploitation of vulnerable persons; certain broker-dealers and investment advisers required to file report under Mississippi Vulnerable Persons Act must forward copy of report to administrator; initiation of internal review of suspected financial exploitation
- §§ 75-71-415 through 75-71-431. [Repealed]
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