§ 7-11-201. Broker-dealer and sales representative licensing.
§ 7-11-202. Exempt broker-dealers and sales representatives.
§ 7-11-203. Investment adviser and investment adviser representative licensing.
§ 7-11-204. Exempt investment advisers and investment adviser representatives.
§ 7-11-206. Licensing and notice fees; and filing requirements for federal covered advisers.
§ 7-11-209. Post-licensing requirements.
§ 7-11-210. Licensing of successor firms.
§ 7-11-212. Grounds for denial, suspension, and revocation.
§ 7-11-213. Denial, suspension, or revocation on grounds of lack of qualification.