CHAPTER 10. SECURITIES REGULATION
- Part 1. General Application
- 30-10-101. Short title.
- 30-10-102. Policy.
- 30-10-103. Definitions.
- 30-10-104. Exempt securities.
- 30-10-105. Exempt transactions -- rulemaking.
- 30-10-106. Proof of exemption.
- 30-10-107. Administration.
- 30-10-108. and reserved.
- 30-10-110. Scope.
- 30-10-111. through reserved.
- 30-10-115. Deposits to general fund -- exception.
- 30-10-116. Repealed.
- 30-10-117. Repealed.
- 30-10-118. Repealed.
- Part 2. Registration
- 30-10-201. Registration and notice filing requirements of broker-dealers, salespersons, investment advisers, and investment adviser representatives.
- 30-10-202. Registration of securities.
- 30-10-203. Registration by notification.
- 30-10-204. Registration by coordination.
- 30-10-205. Registration by qualification.
- 30-10-206. General provisions regarding registration of securities.
- 30-10-207. Denial, suspension, and revocation of registration of securities.
- 30-10-208. Consent to service of process -- manner of service.
- 30-10-209. Fees.
- 30-10-210. Examination costs.
- 30-10-211. Federal covered securities.
- Part 3. Offenses and Penalties
- 30-10-301. Fraudulent and other prohibited practices.
- 30-10-302. Misleading filings.
- 30-10-303. Unlawful representation concerning registration or exemption.
- 30-10-304. Investigations and subpoenas.
- 30-10-305. Injunctions and other remedies -- limitations on actions.
- 30-10-306. Criminal liabilities.
- 30-10-307. Civil liabilities -- limitations on actions.
- 30-10-308. Judicial review of orders.
- 30-10-309. Securities restitution.
- 30-10-310. Reporting requirements.
- 30-10-311. through reserved.
- 30-10-315. Requirements for securities fraud actions -- definition.
- 30-10-316. Sanctions.
- 30-10-317. Defendant's right to written interrogatories.
- 30-10-318. Limitation on damages.
- 30-10-319. Applicability of safe harbor for forward-looking statements.
- 30-10-320. Prohibition of referral fees.
- 30-10-321. Prosecution of persons aiding violations.
- 30-10-322. Loss causation.
- 30-10-323. Construction.
- 30-10-324. Definitions.
- 30-10-325. Operating pyramid promotional scheme unlawful.
- 30-10-326. Notice of activity -- consent to service.
- Part 4. Fiduciary Security Transfers (Repealed)