Article

Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

S.C. Code Ann. § 35-1-401— Broker-dealer registration requirement; exemptions
S.C. Code Ann. § 35-1-402— Agent registration requirement and exemptions
S.C. Code Ann. § 35-1-403— Investment adviser registration requirement; exemptions
S.C. Code Ann. § 35-1-404— Investment advisor representative registration requirement; exemptions
S.C. Code Ann. § 35-1-405— Federal covered investment adviser notice filing requirement
S.C. Code Ann. § 35-1-406— Registration by broker-dealer, agent, investment adviser, and investment adviser representative
S.C. Code Ann. § 35-1-407— Succession and change in registration of broker-dealer or investment adviser
S.C. Code Ann. § 35-1-408— Termination of employment or association of agent and investment adviser representative; transfer of employment or association
S.C. Code Ann. § 35-1-409— Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
S.C. Code Ann. § 35-1-410— Examination and filing fee requirements
S.C. Code Ann. § 35-1-411— Postregistration requirements
S.C. Code Ann. § 35-1-412— Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration