Chapter 12 - FRAUDULENT, DISHONEST AND UNETHICAL BUSINESS PRACTICES
- § 48-12-001 - GENERAL
- § 48-12-002 - FRAUDULENT PRACTICES OF BROKER-DEALERS AND AGENTS
- § 48-12-003 - UNETHICAL PRACTICES FOR BROKER-DEALERS, ISSUER-DEALERS, AND AGENTS
- § 48-12-004 - DISHONEST AND UNETHICAL PRACTICES FOR BROKER-DEALERS AND AGENTS IN CONNECTION WITH THE SALE OF INVESTMENT COMPANY SECURITIES
- § 48-12-005 - UNETHICAL PRACTICES FOR AGENTS
- § 48-12-006 - FRAUDULENT AND DISHONEST OR UNETHICAL PRACTICES FOR INVESTMENT ADVISERS, FEDERAL COVERED ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES
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.
- § 48-12-001 - GENERAL
- § 48-12-002 - FRAUDULENT PRACTICES OF BROKER-DEALERS AND AGENTS
- § 48-12-003 - UNETHICAL PRACTICES FOR BROKER-DEALERS, ISSUER-DEALERS, AND AGENTS
- § 48-12-004 - DISHONEST AND UNETHICAL PRACTICES FOR BROKER-DEALERS AND AGENTS IN CONNECTION WITH THE SALE OF INVESTMENT COMPANY SECURITIES
- § 48-12-005 - UNETHICAL PRACTICES FOR AGENTS
- § 48-12-006 - FRAUDULENT AND DISHONEST OR UNETHICAL PRACTICES FOR INVESTMENT ADVISERS, FEDERAL COVERED ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES