Chapter 13 Attorney General

Article 1 Miscellaneous

13-1. Inspection of Records of Charitable Trusts and Public Foundations.

13-2. Limitations on Inspections.

13-3. Notes, Photo-copies, etc.

13-4. Records Concerning Charitable Purposes Only May Be Inspected.

13-5 to 13-10. [Reserved].

13-5 to 13-10. [Reserved].

13-11. Declaratory Rulings.

13-12. Promulgation, Amendment, Repeal of Rules.

13-13. Contests of Authority to Issue Regulations.

13-14 to 13-20. [Reserved].

13-14 to 13-20. [Reserved].

13-21 to 13-29. Repealed.

13-21 to 13-29. Repealed.

13-30. Repeal of Prior Regulations.


Article 2 Securities

Subarticle 1 General Provisions [Reserved]

Subarticle 2 Exemptions From Securities

13-201. Approved Securities Exchanges.

13-202. Securities of Nonprofit Organizations.

13-203. Recognized Securities Manuals.

13-204. Regulation D Offerings.

13-205. Accredited Investor Exemption.

Subarticle 3 Registration Of Securities And Notice Filing Of Federal Covered Securities

13-301. Notice Filing Requirements for Federal Covered Securities.

13-302. Prospectus Content and Filing Requirements for Securities Registered by Qualification.

13-303. Impoundment of Proceeds or Stock.

13-304. Underwriting Expenses, Underwriter Warrants, Selling Expenses, and Selling Security Holders.

13-305. Options And Warrants.

13-306. Form and Minimum Provisions for Debt Securities.

13-307. Promoters' Equity.

13-308. Required Filings For Federal Covered Securities Under Section 18(b)(4)(D) of the Securities Act of 1933.

Subarticle 4 Broder-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

13-401. Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives.

13-402. Exemptions for Certain Canadian Broker-Dealers.

13-403. Use of the NASD CRD and IARD to Receive Certain Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Other Forms and Fees.

13-404. Criminal Record Requirement for Broker-Dealer Agents and Investment Adviser Representatives.

13-405. Broker-Dealer Recordkeeping, Minimum Financial Reporting and Bonding Requirements.

13-406. Investment Adviser Minimum Capital and Bonding Requirements.

13-407. Cash or Security Deposits in Lieu of Surety Bond.

13-408. Recordkeeping Requirements for Investment Advisers.

Subarticle 5 Fraud And Liabilities

13-501. Dishonest or Unethical Practices by Broker-Dealers and Agents.

13-502. Dishonest or Unethical Practices by Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers.

13-503. Advertising Filing Requirement.

Subarticle 6 Administration And Judicial Review

13-601. Financial Statements Submitted with an Application to Register Securities or Used in a Prospectus.

13-602. Prospectus, Offering Circular, Exemption and Exception Filing Fees.

13-603. Consents to Service of Process.

Subarticle 7 Transition And Fee Provisions [Reserved]