<html> <head> <meta name=Generator content="Microsoft Office HTML Filter 2.0"> <meta http-equiv=Content-Type content="text/html; charset=windows-1252"> <meta name=Originator content="Microsoft Word 10"> <title>Rule 20:08:03 BROKER-DEALER AND AGENT RULES</title> <META NAME="Keywords" Content="Administrative Rules 20:08:03"> <META NAME="Description" Content="Administrative Rules 20:08:03 BROKER-DEALER AND AGENT RULES"> <style> <!-- --> </style> </head> <body lang=EN-US> <div> <p align=center><b>CHAPTER 20:08:03</b></p> <p align=center><b>&nbsp;</b></p> <p align=center><b>BROKER-DEALER AND AGENT RULES</b></p> <p>Section</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:01">20:08:03:01</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Registration for broker-dealers, broker-dealer agents, and agents of the issuer.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:02">20:08:03:02</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Record keeping requirements for broker-dealers.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:03">20:08:03:03</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Broker-dealer minimum financial requirements.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:04">20:08:03:04</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Net capital requirements of broker-dealers.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:05">20:08:03:05</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Waiver of certain broker-dealer records and financial requirements.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:06">20:08:03:06</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Dishonest and unethical practices, broker-dealer, broker-dealer agents.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:07">20:08:03:07</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Fraudulent practices of broker-dealers, broker-dealer agents, and agents of the issuer.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:07.01">20:08:03:07.01</a>&nbsp;&nbsp; Certification and professional designations.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:08">20:08:03:08</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Written supervisory procedures.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:09">20:08:03:09</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Copies of complaints to be filed with director.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:10">20:08:03:10</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice of transfer of control or of name change.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:11">20:08:03:11</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice of net capital deficiency.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:12">20:08:03:12</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Repealed.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:13">20:08:03:13</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Notice of thefts required.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:14">20:08:03:14</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Broker-dealer conduct on the premises of financial institutions.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:15">20:08:03:15</a>&nbsp;&nbsp; &nbsp;&nbsp;&nbsp;&nbsp; Cross-border exemptions from registration for broker-dealers and agents.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:16">20:08:03:16</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Employee of the issuer exemption.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:17">20:08:03:17</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Finders.</p> <p><a href="DisplayRule.aspx?Rule=20:08:03:18">20:08:03:18</a>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Business brokers.</p> </div> </body> </html>