Title R164 - Securities
- Rule R164-1 - Fraudulent Practices of Broker-Dealers, Broker-Dealer Agents, and Issuer-Agents (§ R164-1-1 to R164-1-4)
- Rule R164-2 - Investment Adviser - Unlawful Acts (§ R164-2-1 to R164-2-10)
- Rule R164-4 - Licensing Requirements (§ R164-4-1 to R164-4-9)
- Rule R164-5 - Broker-Dealer and Investment Adviser Books and Records (§ R164-5-1 to R164-5-3)
- Rule R164-6 - Denial, Suspension or Revocation of a License (§ R164-6-1g)
- Rule R164-9 - Registration by Coordination (§ R164-9-1 to R164-9-3b)
- Rule R164-10 - Registration by Qualification (§ R164-10-2)
- Rule R164-11 - Registration Statement (§ R164-11-1 to R164-11-7b)
- Rule R164-12 - Sales Commission (§ R164-12-1f)
- Rule R164-14 - Exemptions (§ R164-14-1e to R164-14-27v)
- Rule R164-15 - Federal Covered Securities (§ R164-15-1 to R164-15-4)
- Rule R164-18 - Procedures (§ R164-18-6)
- Rule R164-25 - Record of Registration (§ R164-25-5)
- Rule R164-26 - Consent to Service of Process (§ R164-26-6)
- Rule R164-31 - Administrative Fines (Repealed) (§ R164-31-1)
- Rule R164-32 - Codification of Precedent (§ R164-32-1)
- Rule R164-101 - Securities Fraud Reporting Program Act (§ R164-101-1)
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.
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