South Carolina Code of Regulations

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Chapter 113 Secretary Of State

Article 1 Securities Division

113-1. Agents Registered with Only One Broker-Dealer or Issuer at One Time.

113-2. Sales Permits and Examinations for Principals, Partners, Officers and Directors of Broker-Dealer and Issuers.

113-3. Examinations for Securities Agents.

113-4. Provisions Applicable in General to Securities Examinations.

113-5. Examinations for Investment Advisers.

113-6. Deposits in Lieu of Bond.

113-7. Records to Be Kept and Financial Statements to Be Filed by Broker-Dealers.

113-8. Securities Issued After Release of Impounded Funds.

113-9. Release of Portion of Commission Where Proceeds Impounded.

113-10. Financial Statements Used in a Prospectus.

113-11. Options or Warrants.

113-12. Underwriting Expenses and Commissions.

113-13. Pre-Incorporation Stock Subscriptions.

113-14. Form and Minimum Provisions for Debt Securities.

113-15. Expenses and Fees Payable by Investment Companies.

113-16. Approved Securities Exchanges.

113-17. Recognized Securities Manuals.

113-18. Securities of Nonprofit Organizations.

113-19. Examination Fees to Accompany Filing of Prospectus or Offering Circular.

113-20. Fees to Accompany a Request for Confirmation of the Availability of An Exemption or Exception.

113-21. Exemption Pursuant to Regulation D and Section 35-1-320(9).

113-22. Limited Offering Exemption to Ten or Less Persons.

113-23. Dishonest or Unethical Practices by Investment Advisers and Investment Adviser Representatives.

113-24. Custody of Client Funds or Securities by Investment Advisers.

113-25. Dishonest or Unethical Practices by Broker-Dealers and Agents.

113-26. Financial Reporting Requirements for Certain Investment Advisers.

Article 2 Municipal Corporations

113-200. Municipal Incorporations

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