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Authorized Rulemaking (88)
69W-600.008. Termination of Registration as Dealer, Investment Adviser, Branch Office, Principal or Agent
69W-600.009. Registration Renewals
69W-600.0091. Central Registration Depository System
69W-600.0092. Investment Adviser Registration Depository for Federal Covered Advisers
69W-600.0093. Investment Adviser Registration Depository for Investment Advisers
69W-600.010. Notice of Civil, Criminal or Administrative Action
69W-600.012. Rules of Conduct
69W-600.013. Prohibited Business Practices for Dealers and Their Associated Persons
69W-600.0131. Prohibited Business Practices for Investment Advisers and Their Associated Persons
69W-600.0132. Custody Requirements for Investment Advisers
69W-600.0133. Use of Senior - Specific Certifications and Professional Designations by Associated Persons and Investment Advisers
69W-600.014. Books and Records Requirements
69W-600.015. Financial Reporting Requirements - Statement of Financial Condition - Dealers and Investment Advisers
69W-600.016. Net Capital Requirements for Dealers and Investment Advisers
69W-600.017. Customer Protection Rule - Reserve Requirements and Custody of Customer Funds and Securities
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