CHAPTER 502 - UNIFORM SECURITIES ACT (Blue Sky Law)
- 502.101 - SHORT TITLE.
- 502.102 - DEFINITIONS.
- 502.103 - REFERENCES TO FEDERAL STATUTES.
- 502.104 - REFERENCES TO FEDERAL AGENCIES.
- 502.105 - ELECTRONIC RECORDS AND SIGNATURES.
- 502.201 - EXEMPT SECURITIES.
- 502.202 - EXEMPT TRANSACTIONS.
- 502.203 - ADDITIONAL EXEMPTIONS AND WAIVERS.
- 502.204 - DENIAL, SUSPENSION, REVOCATION, CONDITION, OR LIMITATION OF EXEMPTIONS.
- 502.205 THROUGH 502.207A
- 502.207B
- 502.208 AND 502.209
- 502.210
- 502.211 THROUGH 502.218
- 502.301 - SECURITIES REGISTRATION REQUIREMENT.
- 502.302 - NOTICE FILING.
- 502.303 - SECURITIES REGISTRATION BY COORDINATION.
- 502.304 - SECURITIES REGISTRATION BY QUALIFICATION.
- 502.304A - EXPEDITED REGISTRATION BY FILING FOR SMALL ISSUERS.
- 502.305 - SECURITIES REGISTRATION FILINGS.
- 502.306 - DENIAL, SUSPENSION, AND REVOCATION OF SECURITIES REGISTRATION.
- 502.307 - WAIVER AND MODIFICATION.
- 502.321A - SPECIAL DEFINITIONS.
- 502.321B - REGISTRATION REQUIREMENTS -- HEARING.
- 502.321C - FILING OF SOLICITATION MATERIALS.
- 502.321D - FRAUDULENT, DECEPTIVE, OR MANIPULATIVE ACTS AND PRACTICES PROHIBITED.
- 502.321E - LIMITATIONS ON OFFERS AND OFFERORS.
- 502.321F - ADMINISTRATION -- RULES AND ORDERS.
- 502.321G - FEES.
- 502.321H - NONAPPLICATION OF CORPORATE TAKEOVER LAW.
- 502.321I - APPLICATION OF SECURITIES LAW.
- 502.401 - BROKER-DEALER REGISTRATION REQUIREMENT AND EXEMPTIONS.
- 502.402 - AGENT REGISTRATION REQUIREMENT AND EXEMPTIONS.
- 502.403 - INVESTMENT ADVISER REGISTRATION REQUIREMENT AND EXEMPTIONS.
- 502.404 - INVESTMENT ADVISER REPRESENTATIVE REGISTRATION REQUIREMENT AND EXEMPTIONS.
- 502.405 - FEDERAL COVERED INVESTMENT ADVISER NOTICE FILING REQUIREMENT.
- 502.406 - REGISTRATION BY BROKER-DEALER, AGENT, INVESTMENT ADVISER, AND INVESTMENT ADVISER REPRESENTATIVE.
- 502.407 - SUCCESSION AND CHANGE IN REGISTRATION OF BROKER-DEALER OR INVESTMENT ADVISER.
- 502.408 - TERMINATION OF EMPLOYMENT OR ASSOCIATION OF AGENT AND INVESTMENT ADVISER REPRESENTATIVE AND TRANSFER OF EMPLOYMENT OR ASSOCIATION.
- 502.409 - WITHDRAWAL OF REGISTRATION OF BROKER-DEALER, AGENT, INVESTMENT ADVISER, AND INVESTMENT ADVISER REPRESENTATIVE -- CESSATION OF BUSINESS -- ABANDONED FILINGS.
- 502.410 - FILING FEES.
- 502.411 - POSTREGISTRATION REQUIREMENTS.
- 502.412 - DENIAL, REVOCATION, SUSPENSION, WITHDRAWAL, RESTRICTION, CONDITION, OR LIMITATION OF REGISTRATION.
- 502.501 - GENERAL FRAUD.
- 502.501A - PROHIBITED TRANSACTIONS OF BROKER-DEALERS AND AGENTS.
- 502.502 - PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE.
- 502.502A
- 502.503 - EVIDENTIARY BURDEN.
- 502.504 - FILING OF SALES AND ADVERTISING LITERATURE.
- 502.505 - MISLEADING FILINGS.
- 502.506 - MISREPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION -- OFFICIAL ENDORSEMENTS PROHIBITED.
- 502.506A - MISSTATEMENTS IN PUBLICITY PROHIBITED.
- 502.507 - QUALIFIED IMMUNITY.
- 502.508 - CRIMINAL PENALTIES.
- 502.509 - CIVIL LIABILITY.
- 502.510 - RECISION OFFERS.
- 502.601 - ADMINISTRATION.
- 502.602 - INVESTIGATIONS AND SUBPOENAS.
- 502.603 - CIVIL ENFORCEMENT.
- 502.603A
- 502.604 - ADMINISTRATIVE ENFORCEMENT.
- 502.604A - LIMITED LAW ENFORCEMENT AUTHORITY.
- 502.604B
- 502.605 - RULES, FORMS, ORDERS, INTERPRETATIVE OPINIONS, AND HEARINGS.
- 502.606 - ADMINISTRATIVE FILES AND OPINIONS.
- 502.607 - PUBLIC RECORDS -- CONFIDENTIALITY.
- 502.608 - UNIFORMITY AND COOPERATION WITH OTHER AGENCIES.
- 502.609 - JUDICIAL REVIEW OF ORDERS.
- 502.610 - JURISDICTION.
- 502.611 - SERVICE OF PROCESS.
- 502.612 - SEVERABILITY CLAUSE.
- 502.701 - PUBLIC JOINT INVESTMENT TRUSTS.