Chapter 517 SECURITIES TRANSACTIONS
- 517.011 Short title.
- 517.021 Definitions.
- 517.03 Rulemaking; immunity for acts in conformity with rules.
- 517.051 Exempt securities.
- 517.061 Exempt transactions.
- 517.07 Registration of securities.
- 517.072 Viatical settlement investments.
- 517.075 Cuba, prospectus disclosure of doing business with, required.
- 517.081 Registration procedure.
- 517.082 Notification registration.
- 517.101 Consent to service.
- 517.111 Revocation or denial of registration of securities.
- 517.12 Registration of dealers, associated persons, investment advisers, and branch offices.
- 517.1201 Notice filing requirements for federal covered advisers.
- 517.1205 Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval.
- 517.121 Books and records requirements; examinations.
- 517.1215 Requirements, rules of conduct, and prohibited business practices for investment advisors and their associated persons.
- 517.1217 Rules of conduct and prohibited business practices for dealers and their associated persons.
- 517.122 Arbitration.
- 517.131 Securities Guaranty Fund.
- 517.141 Payment from the fund.
- 517.151 Investments of the fund.
- 517.161 Revocation, denial, or suspension of registration of dealer, investment adviser, associated person, or branch office.
- 517.1611 Guidelines.
- 517.171 Burden of proof.
- 517.181 Escrow agreement.
- 517.191 Injunction to restrain violations; civil penalties; enforcement by Attorney General.
- 517.201 Investigations; examinations; subpoenas; hearings; witnesses.
- 517.2015 Confidentiality of information relating to investigations and examinations.
- 517.2016 Public records exemption; examination techniques and procedures.
- 517.211 Remedies available in cases of unlawful sale.
- 517.221 Cease and desist orders.
- 517.241 Remedies.
- 517.275 Commodities; prohibited practices.
- 517.301 Fraudulent transactions; falsification or concealment of facts.
- 517.302 Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution.
- 517.311 False representations; deceptive words; enforcement.
- 517.312 Securities, investments, boiler rooms; prohibited practices; remedies.
- 517.313 Destroying certain records; reproduction.
- 517.315 Fees.
- 517.32 Exemption from excise tax, certain obligations to pay.