Chapter 1301:6-3 - Registration of Securities; Licensing

  1. § 1301:6-3-01 - Definitions
  2. § 1301:6-3-02 - Exempt securities
  3. § 1301:6-3-03 - Exempt transactions
  4. § 1301:6-3-04.1 - Control bids
  5. § 1301:6-3-06 - Transactions registered by description
  6. § 1301:6-3-08 - Registration by description
  7. § 1301:6-3-09 - Registration by qualification
  8. § 1301:6-3-09.1 - Registration by coordination
  9. § 1301:6-3-09.3 - Electronic filings
  10. § 1301:6-3-12 - Documents open to inspection
  11. § 1301:6-3-13 - Withdrawal of application or notice filing
  12. § 1301:6-3-14 - Exceptions to dealer license and securities and exchange commission registration requirements
  13. § 1301:6-3-14.1 - Notice filing for certain investment advisers; duty to update
  14. § 1301:6-3-14.2 - Dealers not required under federal law or the law of this state to be registered as a broker or dealer with the securities and exchange commission
  15. § 1301:6-3-15 - Application for securities dealer license; responsibilities of licensed securities dealer
  16. § 1301:6-3-15.1 - Application for investment adviser's license; responsibilities of licensed investment adviser
  17. § 1301:6-3-16 - Application for salesperson's license; updating
  18. § 1301:6-3-16.1 - Application for an investment adviser representative's license
  19. § 1301:6-3-16.3 - Application for a state retirement system investment officer's license
  20. § 1301:6-3-16.5 - Application for a bureau of workers' compensation chief investment officer license
  21. § 1301:6-3-19 - Deceptive practices and good business repute
  22. § 1301:6-3-23 - Enforcement powers
  23. § 1301:6-3-39.1 - Retroactive exemption, qualification or registration
  24. § 1301:6-3-44 - Investment adviser and investment adviser representative fraudulent practices; general prohibitions; cross transactions
  25. § 1301:6-3-48 - Records retention

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