{"data":{"id":"us-ms/miss.-code-ann.-75-71-406","jurisdiction":"us-ms","citation":"Miss. Code Ann. § 75-71-406","heading":"Registration by broker-dealer, agent, investment adviser, and investment adviser representative.","body":"(a) Application for initial registration. A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service of process complying with Section 75-71-611, and paying the fee specified in Section 75-71-410 and any reasonable fees charged by the designee of the administrator for processing the filing. The application must contain:\n(1) The information or record required for the filing of a uniform application; and\n(2) Upon request by the administrator, any other financial or other information or record that the administrator determines is appropriate.\n(b) Amendment. If the information or record contained in an application filed under subsection (a) is or becomes inaccurate or incomplete in a material respect, the registrant shall promptly file a correcting amendment.\n(c) Effectiveness of registration. If an order is not in effect and a proceeding is not pending under Section 75-71-412, registration becomes effective at noon on the forty-fifth day after a completed application is filed, unless the registration is denied. A rule adopted or order issued under this chapter may set an earlier effective date or may defer the effective date until noon on the forty-fifth day after the filing of any amendment completing the application.\n(d) Registration renewal. A registration is effective until midnight on December 31 of the year for which the application for registration is filed. Unless an order is in effect under Section 75-71-412, a registration may be automatically renewed each year by filing such records as are required by rule adopted or order issued under this chapter, by paying the fee specified in Section 75-71-410, and by paying costs charged by the designee of the administrator for processing the filings.\n(e) Additional conditions or waivers. A rule adopted or order issued under this chapter may impose such other conditions, not inconsistent with the National Securities Markets Improvement Act of 1996. An order issued under this chapter may waive, in whole or in part, specific requirements in connection with registration as are in the public interest and for the protection of investors.","path":["Title 75. Regulation of Trade, Commerce and Investments","Chapter 71. Mississippi Securities Act of 2010","Article 4. Broker-dealers, agents, investment advisers, investment adviser representatives, and federal covered investment advisers."],"source_url":"https://archive.org/download/gov.ms.code.ann.2018/release78.2020.07.08/gov.ms.code.title.75.odt","current_through":"2020-07-08","vintage":"Mississippi Code Release 78 (2020-07), retrieved 2026-09-17","retrieved_at":"2026-10-27T05:54:13Z","sha256":"9ebcb2232a51fddf83ee48f663c822caefabe857eb650f76308eb045ab299767","source_id":"us-ms","stale":false,"prev":"us-ms/miss.-code-ann.-75-71-405","next":"us-ms/miss.-code-ann.-75-71-407","notices":[{"id":"open-us-law","title":"Open US Law compilation","text":"Compilation CC BY 4.0, Open US Law (Vaquill AI). GroundRules uses only the releases published under CC BY 4.0: from v2026.09 the compilation is licensed CC BY-NC 4.0, and GroundRules does not use those releases. Each affected row names its release in its vintage label. GroundRules parsed and filtered the compilation to retain enacted text.","url":"https://huggingface.co/datasets/vaquill/open-us-law","license_url":"https://creativecommons.org/licenses/by/4.0/"},{"id":"pro-ms","title":"Mississippi Release 78 supplement","text":"Mississippi electronic product files were republished by Public.Resource.Org under a public-domain dedication. GroundRules uses enacted text from Release 78 only as a labeled supplement to the newer Open US Law rows.","url":"https://archive.org/details/gov.ms.code.ann.2018"}]},"notice":"GroundRules: Original legal text. Not legal advice."}