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Chapter 10-04

Supervision of Issue and Sale of Securities
Section Section Name
10-04-01 Title
10-04-02 Definitions
10-04-03 Administration of chapter
10-04-04 Registration of securities
10-04-04.1 Agent or investment adviser representative records - Exempt record
10-04-05 Exempt securities
10-04-06 Exempt transactions
10-04-06.1 Suspension and revocation of exemptions
10-04-06.2 Legacy fund investments ‑ Notice filing
10-04-07 Registration by description
10-04-07.1 Registration by announcement ‑ Secondary
10-04-07.2 Registration by coordination
10-04-08 Registration by qualification
10-04-08.1 Authority of commissioner
10-04-08.2 Advertising matter ‑ Regulations
10-04-08.3 Unlawful representations concerning registration or exemption
10-04-08.4 Federal covered security
10-04-08.5 Financial exploitation ‑ Vulnerable adult (Effective through August 31, 2022)
10-04-09 Suspension or revocation of registration of securities
10-04-10 Registration of broker‑dealers, agents, investment advisers, and investment adviser representatives ‑ Notice filings by federal covered advisers
10-04-10.1 Advisory activities
10-04-10.2 Conviction not bar to registration ‑ Exceptions
10-04-10.3 Postregistration provisions
10-04-11 Suspension or revocation of broker‑dealer's, agent's, investment adviser's, and investment adviser representative's registration
10-04-12 Hearings
10-04-12.1 Board of review
10-04-13 Appeals
10-04-14 Service of process
10-04-15 Fraudulent practices
10-04-16 Orders, injunctions, and prosecutions for violations ‑ Civil penalty
10-04-16.1 Investigations and subpoenas
10-04-17 Remedies
10-04-18 Penalties
10-04-19 Evidentiary matters
10-04-20 Repeal of certain prior laws, saving of certain rights and liabilities thereunder

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