Article 1 Miscellaneous
Inspection of Records of Charitable Trusts and Public Foundations.
Limitations on Inspections.
Notes, Photo-copies, etc.
Records Concerning Charitable Purposes Only May Be Inspected.
Promulgation, Amendment, Repeal of Rules.
Contests of Authority to Issue Regulations.
Repeal of Prior Regulations.
Article 2 Securities
Subarticle 2 Exemptions From Securities
Approved Securities Exchanges.
Securities of Nonprofit Organizations.
Recognized Securities Manuals.
Regulation D Offerings.
Accredited Investor Exemption.
Subarticle 3 Registration Of Securities And Notice Filing Of Federal Covered Securities
Notice Filing Requirements for Federal Covered Securities.
Prospectus Content and Filing Requirements for Securities Registered by Qualification.
Impoundment of Proceeds or Stock.
Underwriting Expenses, Underwriter Warrants, Selling Expenses, and Selling Security Holders.
Options And Warrants.
Form and Minimum Provisions for Debt Securities.
Required Filings For Federal Covered Securities Under Section 18(b)(4)(D) of the Securities Act of 1933.
Subarticle 4 Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives.
Exemptions for Certain Canadian Broker-Dealers.
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.
Criminal Record Requirement for Broker-Dealer Agents and Investment Adviser Representatives.
Broker-Dealer Recordkeeping, Minimum Financial Reporting and Bonding Requirements.
Investment Adviser Minimum Capital and Bonding Requirements.
Cash or Security Deposits in Lieu of Surety Bond.
Recordkeeping Requirements for Investment Advisers.
Subarticle 5 Fraud And Liabilities
Dishonest or Unethical Practices by Broker-Dealers and Agents.
Dishonest or Unethical Practices by Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers.
Advertising Filing Requirement.
Subarticle 6 Administration And Judicial Review
Financial Statements Submitted with an Application to Register Securities or Used in a Prospectus.
Prospectus, Offering Circular, Exemption and Exception Filing Fees.
Consents to Service of Process.