13-09-01 |
License required
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13-09-02 |
Definitions
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13-09-03 |
Exclusions
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13-09-04 |
Licensed qualifications
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13-09-05 |
Bond or other security device
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13-09-06 |
Permissible investments and statutory trust
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13-09-07 |
Application for license
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13-09-07.1 |
Change of name or address
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13-09-08 |
Application fee
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13-09-09 |
Issuance of license
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13-09-10 |
Renewal of license and annual report
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13-09-10.1 |
Automatic six‑month extension of license during 2014 calendar year
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13-09-11 |
Extraordinary reporting requirements
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13-09-12 |
Changes in control of a licensee
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13-09-13 |
Examinations
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13-09-14 |
Maintenance of records
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13-09-15 |
Authorized delegate contracts
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13-09-16 |
Authorized delegate conduct
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13-09-17 |
Suspension or revocation of licenses
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13-09-18 |
Suspension or revocation of authorized delegates
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13-09-19 |
Orders to cease and desist
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13-09-20 |
Consent orders
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13-09-21 |
Civil penalties
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13-09-22 |
Criminal penalties
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13-09-23 |
Administrative procedures
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13-09-24 |
Savings and transitional provisions
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13-09-25 |
Prohibited acts and practices
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13-09-26 |
Confidentiality
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