N.J. Admin. Code Tit. 13, ch. 47A - BUREAU OF SECURITIES

  1. Subchapter 1 - BROKER-DEALERS (§ 13:47A-1.1 to 13:47A-1.14)
  2. Subchapter 2 - INVESTMENT ADVISERS (§ 13:47A-2.1 to 13:47A-2.14)
  3. Subchapter 3 - AGENTS (§ 13:47A-3.1 to 13:47A-3.4)
  4. Subchapter 3A - INVESTMENT ADVISER REPRESENTATIVES (§ 13:47A-3A.1 to 13:47A-3A.2)
  5. Subchapter 4 - EXAMINATIONS (§ 13:47A-4.1 to 13:47A-4.5)
  6. Subchapter 5 - RENEWAL (§ 13:47A-5.1 to 13:47A-5.3)
  7. Subchapter 6 - DISHONEST OR UNETHICAL BUSINESS PRACTICES (§ 13:47A-6.1 to 13:47A-6.3)
  8. Subchapter 7 - MISCELLANEOUS (§ 13:47A-7.1 to 13:47A-7.10)
  9. Subchapter 8 - PENALTY (§ 13:47A-8.1)
  10. Subchapter 9 - RESERVED, version 3
  11. Subchapter 10 - REGISTRATION OF SECURITIES (§ 13:47A-10.1 to 13:47A-10.4)
  12. Subchapter 11 - FORMS (§ 13:47A-11.1 to 13:47A-11.20)
  13. Subchapter 12 - EXEMPTIONS FOR SECURITIES TRANSACTIONS AND SECURITIES OFFERINGS; EMPLOYEE BENEFIT PLANS; ACCREDITED INVESTORS (§ 13:47A-12.1 to 13:47A-12.4)
  14. Subchapter 12A - INTRASTATE OFFERING (CROWDFUNDING) EXEMPTION (§ 13:47A-12A.1 to 13:47A-12A.10)
  15. Subchapter 13 - GENERAL RULES OF PRACTICE (§ 13:47A-13.1 to 13:47A-13.17)
  16. Subchapter 14 - RULES OF PRACTICE RELATING TO INVESTIGATIONS (§ 13:47A-14.1 to 13:47A-14.16)

Notes

N.J. Admin. Code Tit. 13, ch. 47A
CHAPTER SOURCE AND EFFECTIVE DATE:
Effective: 6/13/2022.
See: 54 N.J.R. 1416(b).
CHAPTER HISTORICAL NOTE:
Rules of the Bureau of Securities were originally filed and became effective as N.J.A.C. 13:13 on July 29, 1969. N.J.A.C. 13:13 was recodified as 13:47A when the Bureau of Securities became part of the Division of Consumer Affairs. Subchapter 25, Corporation Takeover Bid Disclosure Law, was adopted as R.1978 d.279, effective 8/14/1978. See: 10 N.J.R. 119(b), 10 N.J.R. 405(a). Pursuant to Executive Order No. 66(1978), Subchapter 25, Corporation Takeover Bid Disclosure Law, expired on 8/14/1983.
Pursuant to Executive Order No. 66(1978), Chapter 47A, Bureau of Securities Rules, expired on 9/6/1987.
Chapter 47A, Bureau of Securities, was adopted as R.1987 d.390, effective 10/5/1987. See: 19 N.J.R. 1417(a), 19 N.J.R. 1824(a). Subchapter 9, Intrastate Offerings, and Subchapters 15 through 20, concerning real estate syndications, were allowed to lapse and were not adopted as a part of R.1987 d.390.
Subchapter 10, Registration of Securities, was adopted as R.1990 d.241, effective 5/21/1990. See: 21 N.J.R. 2903(a), 22 N.J.R. 1617(a).
Pursuant to Executive Order No. 66(1978), Chapter 47A, Bureau of Securities, was readopted as R.1992 d.435, effective 10/2/1992. See: 24 N.J.R. 2524(a), 24 N.J.R. 4060(a). Subchapter 12, Exemptions for Securities Transactions and Securities Offerings; Employee Benefit Plans; Accredited Investors, was adopted as R.1995 d.270, effective 6/5/1995. See: 27 N.J.R. 303(a), 27 N.J.R. 2241(a). Subchapter 13, General Rules of Practice; and Subchapter 14, Rules of Practice Relating to Investigations, were adopted as R.1995 d.540, effective 10/16/1995. See: 26 N.J.R. 3814(a), 26 N.J.R. 4337(a), 27 N.J.R. 3964(b).
Pursuant to Executive Order No. 66(1978), Chapter 47A, Bureau of Securities Rules, was readopted as R.1997 d.451, effective 9/26/1997. See: 29 N.J.R. 3119(a), 29 N.J.R. 4463(a). As part of R.1997 d.451, effective 10/20/1997, Subchapter 6, Issuers, was repealed.
Subchapter 3A, Investment Adviser Representatives, was adopted as new rule by R.2002, d.3 effective 1/7/2002 (operative July 7, 2002). See 32 N.J.R. 4232(a), 34 N.J.R. 300(b).
Chapter 47A, Bureau of Securities Rules, was readopted as R.2003 d.154, effective 3/17/2003. As a part of d.154, Subchapter 11, Forms, was repealed and adopted as new rules, effective 4/7/2003. See: 34 N.J.R. 3691(a), 35 N.J.R. 1563(b).
Chapter 47A, Bureau of Securities Rules, was readopted as R.2008 d.301, effective 9/12/2008. As part of R.2008 d.301, Subchapter 2, Investment Advisors, was renamed Investment Advisers; and Subchapter 6, Dishonest or Unethical Business Practices, was added as new rules, effective 10/6/2008. See: 40 N.J.R. 2061(a), 40 N.J.R. 5820(a).
In accordance with N.J.S.A. 52:14B-5.1b, Chapter 47A, Bureau of Securities, was scheduled to expire on 9/12/2015. See: 43 N.J.R. 1203(a).
Chapter 47A, Bureau of Securities Rules, was readopted, effective 7/17/2015. See: Source and Effective Date. Subchapter 12A, Intrastate Offering (Crowdfunding) Exemption, was adopted as special new rules by R.2016 d.109, effective 8/12/2016 (to expire August 11, 2017). See: 48 N.J.R. 1964(a). The provisions of R.2016 d.109 were readopted without change as R.2017 d.145, effective 6/23/2017. See: 49 N.J.R. 2538(b).
Chapter 47A, Bureau of Securities, was readopted, effective 6/13/2022. See: Source and Effective Date.

CHAPTER AUTHORITY:

N.J.S.A. 49:3-47 et seq., specifically 49:3-67(a); and P.L. 2015, c. 128.

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