Chapter 11 - SECURITIES
- Part 1 - GENERAL PROVISIONS (§§ 12.11.1.1 — 12.11.1.13)
- Part 2 - BROKER-DEALERS AND AGENTS (§§ 12.11.2.1 — 12.11.2.24)
- Part 3 - BROKER-DEALER AND AGENTS RECORDS (§§ 12.11.3.1 — 12.11.3.15)
- Part 4 - BROKER-DEALER AND AGENTS RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES (§§ 12.11.4.1 — 12.11.4.16)
- Part 5 - INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED ADVISERS (§§ 12.11.5.1 — 12.11.5.28)
- Part 6 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RECORDS (§§ 12.11.6.1 — 12.11.6.11)
- Part 7 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES RULES OF CONDUCT AND PROHIBITED BUSINESS PRACTICES (§§ 12.11.7.1 — 12.11.7.14)
- Part 8 - REGISTRATION OF SECURITIES - GENERAL PROVISIONS (§§ 12.11.8.1 — 12.11.8.12)
- Part 9 - STANDARDS APPLICABLE TO REGISTERED OFFERINGS (§§ 12.11.9.1 — 12.11.9.19)
- Part 10 - SMALL COMPANY OFFERING REGISTRATION (SCOR) (§§ 12.11.10.1 — 12.11.10.21)
- Part 11 - EXEMPT SECURITIES (§§ 12.11.11.1 — 12.11.11.9)
- Part 12 - EXEMPT TRANSACTIONS (§§ 12.11.12.1 — 12.11.12.23)
- Part 13 - UNIFORM LIMITED OFFERING EXEMPTION (§§ 12.11.13.1 — 12.11.13.17)
- Part 14 - NOTICE FILINGS FOR OFFERINGS OF COVERED SECURITIES (§§ 12.11.14.1 — 12.11.14.11)
- Part 15 - FRAUDULENT PRACTICES (§§ 12.11.15.1 — 12.11.15.14)
- Part 16 - FORMS (§§ 12.11.16.1 — 12.11.16.10)
- Part 17 - USE OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL DESIGNATIONS (§§ 12.11.17.1 — 12.11.17.12)
- Part 18 - TRAINING AND REPORTING GUIDELINES UNDER THE PROTECTING VULNERABLE ADULTS FROM FINANCIAL EXPLOITATION ACT (§§ 12.11.18.1 — 12.11.18.8)