Chapter 47A - BUREAU OF SECURITIES

  1. Subchapter 1 - BROKER-DEALERS (§ 13:47A-1.1 to 13:47A-1.13)
  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-4.4)
  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
  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

CHAPTER SOURCE AND EFFECTIVE DATE:
Effective: June 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 August 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 August 14, 1983.
Pursuant to Executive Order No. 66(1978), Chapter 47A, Bureau of Securities Rules, expired on September 6, 1987.
Chapter 47A, Bureau of Securities, was adopted as R.1987 d.390, effective October 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 May 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 October 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 June 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 October 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 September 26, 1997. See: 29 N.J.R. 3119(a), 29 N.J.R. 4463(a). As part of R.1997 d.451, effective October 20, 1997, Subchapter 6, Issuers, was repealed.
Subchapter 3A, Investment Adviser Representatives, was adopted as new rule by R.2002, d.3 effective January 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 March 17, 2003. As a part of d.154, Subchapter 11, Forms, was repealed and adopted as new rules, effective April 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 September 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 October 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 September 12, 2015. See: 43 N.J.R. 1203(a).
Chapter 47A, Bureau of Securities Rules, was readopted, effective July 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 August 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 June 23, 2017. See: 49 N.J.R. 2538(b).
Chapter 47A, Bureau of Securities, was readopted, effective June 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.