South Carolina Code of Regulations
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
Article 3 Uniform Real Property Recording Act
113-305. General Provisions.
113-310. Electronic Recording Models.
113-315. Memorandum of Understanding.
113-320. Document and System Security Requirements.
113-325. Electronic Transmissions.
113-330. Electronic Recording Process Requirements.
113-335. Document Formats.
113-340. Document and Indexing Requirements
113-345. Payment of Filing Fees.