DFI-Sec 1-36 - Department of Financial Institutions-Securities

  1. Chapter DFI-Sec 1 - Title and definitions (§ DFI-Sec 1.01 to DFI-Sec 1.02)
  2. Chapter DFI-Sec 2 - Registration exemptions and federal covered security notice filings (§ DFI-Sec 2.01 to DFI-Sec 2.04)
  3. Chapter DFI-Sec 3 - Registration requirements and procedures (§ DFI-Sec 3.01 to DFI-Sec 3.08)
  4. Chapter DFI-Sec 4 - Registration of broker-dealers and agents (§ DFI-Sec 4.01 to DFI-Sec 4.10)
  5. Chapter DFI-Sec 5 - Registration and notice filing procedures for investment advisers, federal covered investment advisers, and investment adviser representatives (§ DFI-Sec 5.01 to DFI-Sec 5.13)
  6. Chapter DFI-Sec 6 - Fraudulent practices (§ DFI-Sec 6.01 to DFI-Sec 6.05)
  7. Chapter DFI-Sec 7 - General provisions (§ DFI-Sec 7.01 to DFI-Sec 7.06)
  8. Chapter DFI-Sec 8 - Administrative procedure (§ DFI-Sec 8.01 to DFI-Sec 8.10)
  9. Chapter DFI-Sec 9 - Forms (§ DFI-Sec 9.01)
  10. Chapter DFI-Sec 10 - Use of senior-specific certifications and professional designations (§ DFI-Sec 10.01 to DFI-Sec 10.02)
  11. Chapter DFI-Sec 11 - Investment Adviser Representative Continuing Education (§ DFI-Sec 11.01 to DFI-Sec 11.10)
  12. Chapter DFI-Sec 21 - Definitions (§ DFI-Sec 21.01)
  13. Chapter DFI-Sec 22 - Filing of ownership information (§ DFI-Sec 22.01 to DFI-Sec 22.03)
  14. Chapter DFI-Sec 23 - Registration of take-over offers (§ DFI-Sec 23.01)
  15. Chapter DFI-Sec 24 - Exemptions (§ DFI-Sec 24.01 to DFI-Sec 24.02)
  16. Chapter DFI-Sec 25 - False or misleading solicitation materials (§ DFI-Sec 25.01)
  17. Chapter DFI-Sec 26 - Fraudulent and deceptive practices (§ DFI-Sec 26.01)
  18. Chapter DFI-Sec 27 - General provisions (§ DFI-Sec 27.01)
  19. Chapter DFI-Sec 28 - Conformity with federal law (§ DFI-Sec 28.01)
  20. Chapter DFI-Sec 29 - Forms (§ DFI-Sec 29.01)
  21. Chapter DFI-Sec 31 - Definitions (§ DFI-Sec 31.01)
  22. Chapter DFI-Sec 32 - Exemption and registration of franchises (§ DFI-Sec 32.03 to DFI-Sec 32.09)
  23. Chapter DFI-Sec 34 - Fraudulent and prohibited practices (§ DFI-Sec 34.01)
  24. Chapter DFI-Sec 35 - General provisions (§ DFI-Sec 35.01 to DFI-Sec 35.04)
  25. Chapter DFI-Sec 36 - Administrative procedure (§ DFI-Sec 36.01)

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