Securities Regulations

301.020      Agent Transfers
302.051      Agent registration: bona fide officers, Directors and employees
302.060      Dual registration of agents in certain instances
302.061      Auctioneers exemption from broker-dealer and agent registration
302.063      Financial institutions exempt from broker-dealer and agent registration
302.064      Stock Exchange exemption from agent registration
302.065      Canadian broker-dealer exempt
303.011      Broker-dealer registration procedures
303.012      Investment adviser registration procedure
303.013      Agent registration procedures
303.014      Investment adviser representative registration procedures
303.015      Notice filing for federally covered advisers
303.021      Registration and notice filing procedures for successors to a broker-dealer, investment adviser or federally covered adviser
303.031     Examination requirement for agents
303.032      Examination requirements for investment advisers and investment adviser representatives
303.041      Broker-dealer capital requirements
303.042      Investment adviser capital requirements
303.051      Surety bonds
304.011      Broker-dealer required records
304.012      Investment adviser required records
304.021      Broker-dealer required financial reports
304.022      Investment adviser required financial reports
304.041      Examinations of broker-dealers and investment advisers
304.051      Broker-dealer compensation
304.052      Investment adviser compensation
304.061      Free credit balances
305.011      Supervision of agents, investment adviser representatives and employees
305.019      Dishonest and unethical practices
305.061      Withdrawal of registration or notice filing
403.010      Prohibited transactions and practices
404.010      Advertisements by investment advisers and investment adviser representatives
404.011      Investment adviser brochure disclosure
404.012      Cash payment for client solicitation
404.013      Investment adviser custody or possession of funds or securities of clients