Part 7 - STATE SECURITIES BOARD
- Chapter 101 - GENERAL ADMINISTRATION (§ 101.1 to 101.9)
- Chapter 102 - COMPLAINT PROCESS (§ 102.1 to 102.6)
- Chapter 103 - RULEMAKING PROCEDURE (§ 103.1 to 103.6)
- Chapter 104 - PROCEDURE FOR REVIEW OF APPLICATIONS (§ 104.1 to 104.7)
- Chapter 105 - RULES OF PRACTICE IN CONTESTED CASES (§ 105.1 to 105.20)
- Chapter 106 - GUIDELINES FOR THE ASSESSMENT OF ADMINISTRATIVE FINES (§ 106.1)
- Chapter 107 - TERMINOLOGY (§ 107.1 to 107.2)
- Chapter 109 - TRANSACTIONS EXEMPT FROM REGISTRATION (§ 109.1 to 109.17)
- Chapter 111 - SECURITIES EXEMPT FROM REGISTRATION (§ 111.2)
- Chapter 113 - REGISTRATION OF SECURITIES (§ 113.1 to 113.14)
- Chapter 114 - FEDERAL COVERED SECURITIES (§ 114.1 to 114.4)
- Chapter 115 - SECURITIES DEALERS AND AGENTS (§ 115.1 to 115.24)
- Chapter 116 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES (§ 116.1 to 116.23)
- Chapter 123 - ADMINISTRATIVE GUIDELINES FOR REGISTRATION OF OPEN-END INVESTMENT COMPANIES (§ 123.3)
- Chapter 125 - MINIMUM DISCLOSURES IN CHURCH AND NONPROFIT INSTITUTION BOND ISSUES (§ 125.1 to 125.8)
- Chapter 127 - MISCELLANEOUS (§ 127.1 to 127.4)
- Chapter 131 - GUIDELINES FOR CONFIDENTIALITY OF INFORMATION (§ 131.1)
- Chapter 133 - FORMS (§ 133.2 to 133.36)
- Chapter 135 - INDUSTRIAL DEVELOPMENT CORPORATIONS AND AUTHORITIES (§ 135.1 to 135.3)
- Chapter 137 - ADMINISTRATIVE GUIDELINES FOR REGULATION OF OFFERS (§ 137.1 to 137.7)
- Chapter 139 - EXEMPTIONS BY RULE OR ORDER (§ 139.1 to 139.27)
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.
No prior version found.