Chapter 20:08:04 - Registration requirements and procedures

  1. § 20:08:04:01 - Definitions.Repealed
  2. § 20:08:04:02 - Selling expenses.Repealed
  3. § 20:08:04:03 - Expense limitation for mutual funds.Repealed
  4. § 20:08:04:04 - Options to underwriters.Repealed
  5. § 20:08:04:05 - Selling security holders.Repealed
  6. § 20:08:04:06 - Offering price.Repealed
  7. § 20:08:04:07 - Offering price of common stock of issuers not in the promotional or developmental stage.Repealed
  8. § 20:08:04:08 - Corporations no longer in the promotional or developmental stage.Repealed
  9. § 20:08:04:09 - Cheap stock.Repealed
  10. § 20:08:04:10 - Offering price of common stock of issuers in the promotional or developmental stage.Repealed
  11. § 20:08:04:11 - Significant earnings.Repealed
  12. § 20:08:04:12 - Options and warrants issued to financial institutions.Repealed
  13. § 20:08:04:13 - Qualified options and warrants issued to employees and directors.Repealed
  14. § 20:08:04:14 - Nonqualified options and warrants issued to employees and directors.Repealed
  15. § 20:08:04:15 - Dilution.Repealed
  16. § 20:08:04:16 - Escrow of cheap stock.Repealed
  17. § 20:08:04:17 - Release from escrow.Repealed
  18. § 20:08:04:18 - Transfer of escrowed shares.Repealed
  19. § 20:08:04:19 - Rights of escrowed shares.Repealed
  20. § 20:08:04:20 - Voting rights of escrowed shares.Repealed
  21. § 20:08:04:21 - Terms of escrow in prospectus.Repealed
  22. § 20:08:04:22 - Escrow agent.Repealed
  23. § 20:08:04:23 - Promoters' investment.Repealed
  24. § 20:08:04:24 - Equity investment of promoters.Repealed
  25. § 20:08:04:25 - Preferred stock.Repealed
  26. § 20:08:04:26 - Debentures.Repealed
  27. § 20:08:04:27 - Acquisitions.Repealed
  28. § 20:08:04:28 - Promotional companies.Repealed
  29. § 20:08:04:29 - Application of preferred stock and debentures rules - Exemptions.Repealed
  30. § 20:08:04:30 - Right of preferred shareholders to representation on board of directors.Repealed
  31. § 20:08:04:31 - Protective provisions for preferred shares.Repealed
  32. § 20:08:04:32 - Nonconvertible debt securities.Repealed
  33. § 20:08:04:33 - Trust indentures.Repealed
  34. § 20:08:04:34 - Convertible senior securities.Repealed
  35. § 20:08:04:35 - Assessments.Repealed
  36. § 20:08:04:36 - Restrictions on transfer.Repealed
  37. § 20:08:04:37 - Open-end investment companies.Repealed
  38. § 20:08:04:38 - Open-end investment companies - Cash and cash equivalents.Repealed
  39. § 20:08:04:39 - Open-end investment companies - Restrictions on investments.Repealed
  40. § 20:08:04:40 - Open-end investment companies - Prohibited investments.Repealed
  41. § 20:08:04:41 - Open-end investment companies - Disclosure of investment policies.Repealed
  42. § 20:08:04:42 - Open-end investment companies - Net assets required.Repealed
  43. § 20:08:04:43 - Open-end investment companies - Redemption fee.Repealed
  44. § 20:08:04:44 - Open-end investment companies - Use of affiliated broker-dealers.Repealed
  45. § 20:08:04:45 - Open-end investment companies - Notification of noncompliance.Repealed
  46. § 20:08:04:46 - Closed-end investment companies.Repealed
  47. § 20:08:04:47 - Closed-end investment companies - Restrictions on investments.Repealed
  48. § 20:08:04:48 - Closed-end investment companies - Legend required.Repealed
  49. § 20:08:04:49 - Transactions with affiliates.Repealed
  50. § 20:08:04:50 - Control.Repealed
  51. § 20:08:04:51 - Transactions with affiliates - Authorization.Repealed
  52. § 20:08:04:52 - Loans to affiliates.Repealed
  53. § 20:08:04:53 - Existing loans to affiliates.Repealed
  54. § 20:08:04:54 - Disclosure of affiliate transactions.Repealed
  55. § 20:08:04:55 - Real estate programs.Repealed
  56. § 20:08:04:56 - Oil and gas programs.Repealed
  57. § 20:08:04:57 - Publicly offered cattle feeding programs.Repealed
  58. § 20:08:04:58 - Church bonds.Repealed
  59. § 20:08:04:59 - Nonprofit health care facility offerings.Repealed
  60. § 20:08:04:60 - Real estate investment trusts.Repealed
  61. § 20:08:04:61 - Commodity pool programs.Repealed
  62. § 20:08:04:62 - Equipment programs.Repealed
  63. § 20:08:04:63 - Blind pools.Repealed
  64. § 20:08:04:64 - Variable annuities companies and trusts.Repealed
  65. § 20:08:04:65 - Variable annuities companies and trusts - Applications.Repealed
  66. § 20:08:04:66 - Variable annuities companies and trusts - Load permitted.Repealed
  67. § 20:08:04:67 - Variable annuities companies and trusts - Classes of securities.Repealed
  68. § 20:08:04:68 - Variable annuities companies and trusts - Change in securities.Repealed
  69. § 20:08:04:69 - Variable annuities companies and trusts - Source of distributions.Repealed
  70. § 20:08:04:70 - Variable annuities companies and trusts - Inspection of records.Repealed
  71. § 20:08:04:71 - Variable annuities companies and trusts - Fees and expenses.Repealed
  72. § 20:08:04:72 - Variable annuities companies and trusts - Independent contractors.Repealed
  73. § 20:08:04:73 - Variable annuities companies and trusts - Prohibited activities.Repealed
  74. § 20:08:04:74 - Additional requirements for variable annuities trusts.Repealed
  75. § 20:08:04:75 - Registration by coordination or qualification.Repealed
  76. § 20:08:04:76 - Submission of financial statements.Repealed
  77. § 20:08:04:77 - Submission of financial statements - Accountant's report.Repealed
  78. § 20:08:04:78 - Impoundment conditions - When required.Repealed
  79. § 20:08:04:79 - Operation of impoundment conditions.Repealed
  80. § 20:08:04:80 - Impoundment - Subscription agreements.Repealed
  81. § 20:08:04:81 - Impoundment - Purchase receipts.Repealed
  82. § 20:08:04:82 - Impoundment agent.Repealed
  83. § 20:08:04:83 - Impoundment agreement.Repealed
  84. § 20:08:04:84 - Release of proceeds.Repealed
  85. § 20:08:04:85 - Insufficiency of proceeds.Repealed
  86. § 20:08:04:86 - Purchase of securities subject to impoundment by officer, director, promoter underwriter, affiliate, or associate.Repealed
  87. § 20:08:04:87 - Removal of impoundment conditions.Repealed
  88. § 20:08:04:88 - Requests for variance.Repealed
  89. § 20:08:04:89 - Legend required.Repealed
  90. § 20:08:04:90 - Quarterly reports.Repealed
  91. § 20:08:04:91 - Semiannual reports.Repealed
  92. § 20:08:04:92 - Annual reports.Repealed
  93. § 20:08:04:93 - Final reports.Repealed
  94. § 20:08:04:94 - Sales and advertising literature.Repealed
  95. § 20:08:04:95 - Deceptive or misleading promotional practices.Repealed
  96. § 20:08:04:96 - Advertisements which need not be filed.Repealed
  97. § 20:08:04:97 - Use of rankings or ratings of direct participation programs.Repealed
  98. § 20:08:04:98 - Public inspection of records.Repealed
  99. § 20:08:04:99 - Records subject to public inspection.Repealed
  100. § 20:08:04:100 - Confidentiality of private offerings. Repealed
  101. § 20:08:04:101 - Requirements for confidential treatment.Repealed
  102. § 20:08:04:102 - Requests for confidentiality.Repealed
  103. § 20:08:04:103 - Denial of request.Repealed
  104. § 20:08:04:104 - Granting of requests.Repealed
  105. § 20:08:04:105 - Disclosure of confidential information.Repealed
  106. § 20:08:04:106 - Transmittal of forms by facsimile machine.Repealed
  107. § 20:08:04:107 - Stop orders.Repealed
  108. § 20:08:04:108 - Service of stop orders.Repealed
  109. § 20:08:04:109 - Request for hearing.Repealed
  110. § 20:08:04:110 - Hearing date.Repealed
  111. § 20:04:08:111 - Repealed
  112. § 20:04:08:112 - Repealed
  113. § 20:08:04:113 - Procedures and evidence.Repealed
  114. § 20:08:04:114 - Registration of securities by coordination
  115. § 20:08:04:115 - Registration of securities by qualification
  116. § 20:08:04:116 - Advertising
  117. Appendix A - Quarterly and/or Final Report of Sales of Securities, repealed, 37 SDR 112, effective December 9, 2010, version 18

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