Subpart 1 - Securities
- Chapter 1 - General Requirements (§ XIII-101 to XIII-153)
- Chapter 3 - Form and Content of Prospectus (§ XIII-301 to XIII-323)
- Chapter 5 - Standards of Qualification (§ XIII-501 to XIII-515)
- Chapter 7 - Private Offering Exemptions (§ XIII-701 to XIII-707)
- Chapter 8 - Compensatory Benefit Plans (§ XIII-801)
- Chapter 9 - Oil and Gas Auction (§ XIII-901)
- Chapter 11 - Stock Exchanges (§ XIII-1101 to XIII-1103)
- Chapter 12 - Dishonest or Unethical Practices (§ XIII-1201 to XIII-1205)
- Chapter 13 - Investment Adviser Registration Procedure (§ XIII-1301 to XIII-1311)
- Chapter 17 - Dealer and Investment Adviser Recordkeeping Requirements (§ XIII-1701 to XIII-1705)
- Chapter 19 - Supervision of Salesmen and Investment Adviser Representatives (§ XIII-1901)
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.