Part 14 - Securities Regulation
- Chapter 1 - [Effective until 3/14/2024] GENERAL PROVISIONS, version 5
- Chapter 1 - [Effective 3/14/2024] GENERAL PROVISIONS, version 6 (Rule 1-14-1.01 to 1-14-1.25)
- Chapter 2 - NOTICE FILING AND REGISTRATION OF SECURITIES (Subchapter 1 to 2)
- Chapter 3 - [Effective until 3/14/2024] RESERVED, version 2
- Chapter 3 - [Effective 3/14/2024] RESERVED, version 3
- Chapter 4 - FEE SCHEDULES (Subchapter 1 to 4)
- Chapter 5 - REGISTRATION OF BROKER-DEALERS AND AGENTS (Rule 1-14-5.01 to 1-14-5.35)
- Chapter 6 - INVESTMENT ADVISERS (Rule 1-14-6.01 to 1-14-6.35)
- Chapter 7 - EXEMPTIONS (Rule 1-14-7.01 to 1-14-7.23)
- Chapter 8 - [Effective until 3/14/2024] ADMINISTRATIVE HEARING PROCEDURES
- Chapter 8 - [Effective 3/14/2024] ADMINISTRATIVE HEARING PROCEDURES, version 2 (Rule 1-14-8.01 to 1-14-8.31)
- Chapter 9 - VIATICAL SETTLEMENT INVESTMENT CONTRACTS (Rule 1-14-9.01 to 1-14-9.19)
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.
- Chapter 1 - [Effective until 3/14/2024] GENERAL PROVISIONS, version 5
- Chapter 1 - [Effective 3/14/2024] GENERAL PROVISIONS, version 6 (Rule 1-14-1.01 to 1-14-1.25)
- Chapter 2 - NOTICE FILING AND REGISTRATION OF SECURITIES (Subchapter 1 to 2)
- Chapter 3 - [Effective until 3/14/2024] RESERVED, version 2
- Chapter 3 - [Effective 3/14/2024] RESERVED, version 3
- Chapter 4 - FEE SCHEDULES (Subchapter 1 to 4)
- Chapter 5 - REGISTRATION OF BROKER-DEALERS AND AGENTS (Rule 1-14-5.01 to 1-14-5.35)
- Chapter 6 - INVESTMENT ADVISERS (Rule 1-14-6.01 to 1-14-6.35)
- Chapter 7 - EXEMPTIONS (Rule 1-14-7.01 to 1-14-7.23)
- Chapter 8 - [Effective until 3/14/2024] ADMINISTRATIVE HEARING PROCEDURES
- Chapter 8 - [Effective 3/14/2024] ADMINISTRATIVE HEARING PROCEDURES, version 2 (Rule 1-14-8.01 to 1-14-8.31)
- Chapter 9 - VIATICAL SETTLEMENT INVESTMENT CONTRACTS (Rule 1-14-9.01 to 1-14-9.19)