Ask a question on the site
Questions
Lawyers
Blogs
Legislation
Contacts
Become a lawyer
Login Registration
§ 23-42-301. Registration required — Unlawful acts — Supervision requirements - (a) It is unlawful for a person to transact business...
§ 23-42-302. Registration procedure - (a) (1) A broker-dealer, agent, investment adviser, representative, or branch...
§ 23-42-303. Minimum net capital requirement - (a) The Securities Commissioner shall require a minimum net capital...
§ 23-42-304. Filing fees — Rules - (a) Every applicant for initial or renewal registration and every...
§ 23-42-305. Corporate surety bonds — Alternatives - (a) (1) The Securities Commissioner shall require registered broker-dealers, investment...
§ 23-42-306. Records and reports — Examinations - (a) Every applicant, registered issuer, registered broker-dealer, or registered investment...
§ 23-42-307. Unlawful acts by investment advisers - (a) It is unlawful for any investment adviser or representative:...
§ 23-42-308. Denial, suspension, revocation, or withdrawal of registration, and other penalties - (a) The Securities Commissioner may by order deny, suspend, make...
§ 23-42-309. Protection of vulnerable adults from financial exploitation — Definitions - (a) As used in this section: (1) “Agencies” means: (A)...