Chapter 11 - SECURITIES

  1. Part 1 - GENERAL PROVISIONS, version 8 (§ 12.11.1.1 to 12.11.1.13)
  2. Part 2 - BROKER-DEALERS AND AGENTS, version 8 (§ 12.11.2.1 to 12.11.2.24)
  3. Part 3 - BROKER-DEALER AND AGENTS RECORDS, version 5 (§ 12.11.3.1 to 12.11.3.15)
  4. Part 4 - BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES, version 4 (§ 12.11.4.1 to 12.11.4.16)
  5. Part 5 - INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS, version 2 (§ 12.11.5.1 to 12.11.5.28)
  6. Part 6 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RECORDS, version 2 (§ 12.11.6.1 to 12.11.6.11)
  7. Part 7 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES, version 2 (§ 12.11.7.1 to 12.11.7.14)
  8. Part 8 - REGISTRATION OF SECURITIES - GENERAL PROVISIONS, version 2 (§ 12.11.8.1 to 12.11.8.12)
  9. Part 9 - STANDARDS APPLICABLE TO REGISTERED OFFERINGS, version 2 (§ 12.11.9.1 to 12.11.9.19)
  10. Part 10 - SMALL COMPANY OFFERING REGISTRATION (SCOR), version 2 (§ 12.11.10.1 to 12.11.10.21)
  11. Part 11 - EXEMPT SECURITIES, version 2 (§ 12.11.11.1 to 12.11.11.9)
  12. Part 12 - EXEMPT TRANSACTIONS, version 2 (§ 12.11.12.1 to 12.11.12.23)
  13. Part 13 - UNIFORM LIMITED OFFERING EXEMPTION, version 2 (§ 12.11.13.1 to 12.11.13.17)
  14. Part 14 - NOTICE FILINGS FOR OFFERINGS OF COVERED SECURITIES, version 2 (§ 12.11.14.1 to 12.11.14.11)
  15. Part 15 - FRAUDULENT PRACTICES, version 2 (§ 12.11.15.1 to 12.11.15.14)
  16. Part 16 - FORMS, version 2 (§ 12.11.16.1 to 12.11.16.10)
  17. Part 17 - USE OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL DESIGNATIONS, version 2 (§ 12.11.17.1 to 12.11.17.12)
  18. Part 18 - TRAINING AND REPORTING GUIDELINES UNDER THE PROTECTING VULNERABLE ADULTS FROM FINANCIAL EXPLOITATION ACT, version 2 (§ 12.11.18.1 to 12.11.18.8)

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.