South Dakota · Regulations
Chapter 20:08:03 — Broker-dealer and agent rules
19 sections
19 sections
- ARSD 20:08:03:01ARSD 20:08:03:01. Registration for broker-dealers, broker-dealer agents, and agents of the issuer
- ARSD 20:08:03:02ARSD 20:08:03:02. Record keeping requirements for broker-dealers
- ARSD 20:08:03:03ARSD 20:08:03:03. Broker-dealer minimum financial requirements
- ARSD 20:08:03:04ARSD 20:08:03:04. Net capital requirements of broker-dealers
- ARSD 20:08:03:05ARSD 20:08:03:05. Waiver of certain broker-dealer records and financial requirements
- ARSD 20:08:03:06ARSD 20:08:03:06. Dishonest and unethical practices, broker-dealer, broker-dealer agents
- ARSD 20:08:03:07ARSD 20:08:03:07. Fraudulent practices of broker-dealers, broker-dealer agents, and agents of the issuer
- ARSD 20:08:03:07.01ARSD 20:08:03:07.01. Certifications and professional designations
- ARSD 20:08:03:08ARSD 20:08:03:08. Written supervisory procedures
- ARSD 20:08:03:09ARSD 20:08:03:09. Copies of complaints to be filed with director
- ARSD 20:08:03:10ARSD 20:08:03:10. Notice of transfer of control or of name change
- ARSD 20:08:03:11ARSD 20:08:03:11. Notice of net capital deficiency
- ARSD 20:08:03:12ARSD 20:08:03:12. Notice required of opening or closing of branch officeRepealed
- ARSD 20:08:03:13ARSD 20:08:03:13. Notice of thefts required
- ARSD 20:08:03:14ARSD 20:08:03:14. Broker-dealer conduct on the premises of financial institutions
- ARSD 20:08:03:15ARSD 20:08:03:15. Cross-border exemptions from registration for broker-dealers and agents
- ARSD 20:08:03:16ARSD 20:08:03:16. Employee of the issuer exemption
- ARSD 20:08:03:17ARSD 20:08:03:17. Finders
- ARSD 20:08:03:18ARSD 20:08:03:18. Business brokers