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551.101 - Short title. - 551.101 Short title. This chapter shall be known and may...
551.102 - Definitions. - 551.102 Definitions. In this chapter, unless the context otherwise requires:...
551.103 - References to federal statutes. - 551.103 References to federal statutes. “Securities Act of 1933" (15...
551.104 - References to federal agencies. - 551.104 References to federal agencies. A reference in this chapter...
551.105 - Electronic records and signatures. - 551.105 Electronic records and signatures. This chapter modifies, limits, and...
551.201 - Exempt securities. - 551.201 Exempt securities. The following securities are exempt from the...
551.202 - Exempt transactions. - 551.202 Exempt transactions. The following transactions are exempt from the...
551.203 - Additional exemptions and waivers. - 551.203 Additional exemptions and waivers. A rule adopted or order...
551.204 - Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information. - 551.204 Denial, suspension, revocation, condition, or limitation of exemptions; burden...
551.205 - Additional provisions related to crowdfunding exemption for intrastate offerings through Internet sites. - 551.205 Additional provisions related to crowdfunding exemption for intrastate offerings...
551.206 - Adjustments. - 551.206 Adjustments. At 5-year intervals after January 1, 2014, the...
551.301 - Securities registration requirement. - 551.301 Securities registration requirement. It is unlawful for a person...
551.302 - Notice filing. - 551.302 Notice filing. (1) Required filing of records. With respect...
551.303 - Securities registration by coordination. - 551.303 Securities registration by coordination. (1) Registration permitted. A security...
551.304 - Securities registration by qualification. - 551.304 Securities registration by qualification. (1) Registration permitted. A security...
551.305 - Securities registration filings. - 551.305 Securities registration filings. (1) Who may file. A registration...
551.306 - Denial, suspension, and revocation of securities registration. - 551.306 Denial, suspension, and revocation of securities registration. (1) Stop...
551.307 - Waiver and modification. - 551.307 Waiver and modification. The administrator may waive or modify,...
551.401 - Broker-dealer registration requirement and exemptions. - 551.401 Broker-dealer registration requirement and exemptions. (1) Registration requirement. It...
551.402 - Agent registration requirement and exemptions. - 551.402 Agent registration requirement and exemptions. (1) Registration requirement. It...
551.403 - Investment adviser registration requirement and exemptions. - 551.403 Investment adviser registration requirement and exemptions. (1) Registration requirement....
551.404 - Investment adviser representative registration requirement and exemptions. - 551.404 Investment adviser representative registration requirement and exemptions. (1) Registration...
551.405 - Federal covered investment adviser notice filing requirement. - 551.405 Federal covered investment adviser notice filing requirement. (1) Notice...
551.406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative. - 551.406 Registration by broker-dealer, agent, investment adviser, and investment adviser...
551.407 - Succession and change in registration of broker-dealer or investment adviser. - 551.407 Succession and change in registration of broker-dealer or investment...
551.408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association. - 551.408 Termination of employment or association of agent and investment...
551.409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative. - 551.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and...
551.411 - Postregistration requirements. - 551.411 Postregistration requirements. (1) Financial requirements. Subject to section 15...
551.412 - Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration. - 551.412 Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation...
551.501 - General fraud. - 551.501 General fraud. It is unlawful for a person, in...
551.502 - Prohibited conduct in providing investment advice. - 551.502 Prohibited conduct in providing investment advice. (1) Fraud in...
551.503 - Evidentiary burden. - 551.503 Evidentiary burden. (1) Civil. In a civil action or...
551.504 - Filing of sales and advertising literature. - 551.504 Filing of sales and advertising literature. (1) Filing requirement....
551.505 - Misleading filings. - 551.505 Misleading filings. It is unlawful for a person to...
551.506 - Misrepresentations concerning registration or exemption. - 551.506 Misrepresentations concerning registration or exemption. The filing of an...
551.507 - Qualified immunity. - 551.507 Qualified immunity. A broker-dealer, agent, investment adviser, federal covered...
551.508 - Criminal penalties. - 551.508 Criminal penalties. (1) Criminal penalties. A person that willfully...
551.509 - Civil liability. - 551.509 Civil liability. (1) Securities Litigation Uniform Standards Act. Enforcement...
551.511 - Rescission offers. - 551.511 Rescission offers. A purchaser, seller, or recipient of investment...
551.601 - Administration. - 551.601 Administration. (1) Administration. The administrator shall administer this chapter....
551.602 - Investigations and subpoenas. - 551.602 Investigations and subpoenas. (1) Authority to investigate. The administrator...
551.603 - Civil enforcement. - 551.603 Civil enforcement. (1) Civil action instituted by administrator. If...
551.604 - Administrative enforcement. - 551.604 Administrative enforcement. (1) Issuance of an order or notice....
551.605 - Rules, forms, orders, interpretative opinions, and hearings. - 551.605 Rules, forms, orders, interpretative opinions, and hearings. (1) Issuance...
551.606 - Administrative files and opinions. - 551.606 Administrative files and opinions. (1) Public register of filings....
551.607 - Public records; confidentiality. - 551.607 Public records; confidentiality. (1) Presumption of public records. Except...
551.608 - Uniformity and cooperation with other agencies. - 551.608 Uniformity and cooperation with other agencies. (1) Objective of...
551.609 - Judicial review. - 551.609 Judicial review. A final order issued by the administrator...
551.611 - Service of process. - 551.611 Service of process. (1) Signed consent to service of...
551.613 - Jurisdiction. - 551.613 Jurisdiction. (1) Sales and offers to sell. Sections 551.301,...
551.614 - Fees and expenses. - 551.614 Fees and expenses. (1) Registration and notice filing fees...
551.615 - Statutory policy. - 551.615 Statutory policy. This chapter shall be so construed as...
551.701 - Effective date. - 551.701 Effective date. This chapter takes effect on January 1,...
551.703 - Application of act to existing proceeding and existing rights and duties. - 551.703 Application of act to existing proceeding and existing rights...