Article 1 Securities Division
Agents Registered with Only One Broker-Dealer or Issuer at One Time.
Sales Permits and Examinations for Principals, Partners, Officers and Directors of Broker-Dealer and Issuers.
Examinations for Securities Agents.
Provisions Applicable in General to Securities Examinations.
Examinations for Investment Advisers.
Deposits in Lieu of Bond.
Records to Be Kept and Financial Statements to Be Filed by Broker-Dealers.
Securities Issued After Release of Impounded Funds.
Release of Portion of Commission Where Proceeds Impounded.
Financial Statements Used in a Prospectus.
Options or Warrants.
Underwriting Expenses and Commissions.
Pre-Incorporation Stock Subscriptions.
Form and Minimum Provisions for Debt Securities.
Expenses and Fees Payable by Investment Companies.
Approved Securities Exchanges.
Recognized Securities Manuals.
Securities of Nonprofit Organizations.
Examination Fees to Accompany Filing of Prospectus or Offering Circular.
Fees to Accompany a Request for Confirmation of the Availability of An Exemption or Exception.
Exemption Pursuant to Regulation D and Section 35-1-320(9).
Limited Offering Exemption to Ten or Less Persons.
Dishonest or Unethical Practices by Investment Advisers and Investment Adviser Representatives.
Custody of Client Funds or Securities by Investment Advisers.
Dishonest or Unethical Practices by Broker-Dealers and Agents.
Financial Reporting Requirements for Certain Investment Advisers.
Article 2 Municipal Corporations
Article 3 Uniform Real Property Recording Act
Electronic Recording Models.
Memorandum of Understanding.
Document and System Security Requirements.
Electronic Recording Process Requirements.
Document and Indexing Requirements
Payment of Filing Fees.