Subagency 0017 - Securities
- Chapter 1 - AUTHORITY & PURPOSE (§ 1-1)
- Chapter 2 - DEFINITIONS (§ 2-1 to 2-19)
- Chapter 3 - PUBLIC ACCESS (§ 3-1)
- Chapter 4 - BROKER-DEALER REGULATIONS (§ 4-1 to 4-7)
- Chapter 5 - SECURITIES AGENT REGULATIONS (§ 5-1 to 5-6)
- Chapter 6 - EXEMPTIONS FROM REGISTRATION & CROWDFUNDING, version 5 (§ 6-1 to 6-2)
- Chapter 7 - SECURITIES REGISTRATION (§ 7-1 to 7-6)
- Chapter 9 - NOTICE FILINGS FOR COVERED SECURITIES (§ 9-1 to 9-5)
- Chapter 10 - INVESTMENT ADVISER REGULATIONS (§ 10-1 to 10-15)
- Chapter 11 - FINANCIAL TECHNOLOGY SANDBOX (§ 11-1 to 11-6)
- Appendix A - NOTICE OF INVESTMENT COMPANY EXEMPTION
- Appendix B - SOLICITATION OF INTEREST FORM
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 - AUTHORITY & PURPOSE (§ 1-1)
- Chapter 2 - DEFINITIONS (§ 2-1 to 2-19)
- Chapter 3 - PUBLIC ACCESS (§ 3-1)
- Chapter 4 - BROKER-DEALER REGULATIONS (§ 4-1 to 4-7)
- Chapter 5 - SECURITIES AGENT REGULATIONS (§ 5-1 to 5-6)
- Chapter 6 - EXEMPTIONS FROM REGISTRATION & CROWDFUNDING, version 5 (§ 6-1 to 6-2)
- Chapter 7 - SECURITIES REGISTRATION (§ 7-1 to 7-6)
- Chapter 9 - NOTICE FILINGS FOR COVERED SECURITIES (§ 9-1 to 9-5)
- Chapter 10 - INVESTMENT ADVISER REGULATIONS (§ 10-1 to 10-15)
- Chapter 11 - FINANCIAL TECHNOLOGY SANDBOX (§ 11-1 to 11-6)
- Appendix A - NOTICE OF INVESTMENT COMPANY EXEMPTION
- Appendix B - SOLICITATION OF INTEREST FORM