Chapter 20:08:07 - Notice filings for covered securities and registration exemptions
- Section 20:08:07:01 - Notice filing for open-end investment companies
- Section 20:08:07:02 - Notice filing for closed-end investment companies
- Section 20:08:07:03 - Notice filing for unit investment trusts
- Section 20:08:07:03.01 - Notice filing for face-amount certificate company
- Section 20:08:07:03.02 - Notice filing for Rule 504, and 506 Reg. D offerings
- Section 20:08:07:04 - Notice filing for Rule 506 Reg. D offerings.Repealed
- Section 20:08:07:05 - Notice filing for industrial revenue bonds.Repealed
- Section 20:08:07:06 - Other covered securities.Repealed
- Section 20:08:07:07 - Institutional buyer definition.Repealed
- Section 20:08:07:08 - Excluded securities.Repealed
- Section 20:08:07:09 - Government issued securities.Repealed
- Section 20:08:07:10 - Credit enhancements.Repealed
- Section 20:08:07:11 - Bank securities.Repealed
- Section 20:08:07:12 - Securities listed on exchanges.Repealed
- Section 20:08:07:13 - Nonprofit corporations
- Section 20:08:07:14 - Commercial paper.Repealed
- Section 20:08:07:15 - Employee stock purchase plan.Repealed
- Section 20:08:07:16 - Notice requirements for employee stock purchase plan.Repealed
- Section 20:08:07:17 - Foreign cooperatives
- Section 20:08:07:18 - Isolated non-issuer transaction.Repealed
- Section 20:08:07:19 - Secondary trading.Repealed
- Section 20:08:07:20 - Unsolicited orders
- Section 20:08:07:21 - Real estate and mortgage-backed securities
- Section 20:08:07:22 - Original incorporator and subscriber.Repealed
- Section 20:08:07:23 - Sales to existing security holders/standby commissions
- Section 20:08:07:24 - Limited offerings general rules
- Section 20:08:07:25 - Intrastate limited offering transactional exemption
- Section 20:08:07:26 - Uniform limited offering exemption - Reg. A, Reg. D, Rule 504, Rule 505, and SCOR.Repealed
- Section 20:08:07:27 - Testing-the-waters exemption
- Section 20:08:07:28 - Preliminary offering circulars.Repealed
- Section 20:08:07:29 - Model accredited investor exemption
- Section 20:08:07:30 - Manual exemption
- Section 20:08:07:31 - Viatical settlements
- Section 20:08:07:32 - Canadian-United States cross-border trading exemption
- Section 20:08:07:33 - Church extension fund securities
- Section 20:08:07:34 - Solicitation of interest
- Section 20:08:07:35 - Merger and consolidation
- Section 20:08:07:36 - Designated foreign jurisdiction
- Section 20:08:07:37 - Twenty-five purchasers exempt transaction
- Section 20:08:07:38 - Entities for economic development
- Section 20:08:07:39 - Isolated non-issuer exemption
- Section 20:08:07:40 - Request for Transactional Exemption Pursuant to a Fairness Determination
- Section 20:08:07:41 - Notice Filing Requirement for Federal Crowdfunding Offerings
- Section 20:08:07:42 - Notice Filing Requirement for Regulation A - Tier 2 Offering
- Section 20:08:07:43 - Transactional exemption from registration of issuers that comply with ongoing reporting requirements under Tier 2 of Regulation A
- Appendix A - Statement of Issuer Form, repealed, 37 SDR 112, effective December 9, 2010
- Appendix B - Report of Sales Form, repealed, 37 SDR 112, effective December 9, 2010
- Appendix C - Consent to Service of Process Form U-2, repealed, 37 SDR 112, effective December 9, 2010
- Appendix D - Form D, repealed, 37 SDR 112, effective December 9, 2010
- Appendix E - Solicitation of Interest Form, repealed, 37 SDR 112, effective December 9, 2010
- Appendix F - Model Accredited Investor Form, repealed, 37 SDR 112, effective December 9, 2010
- Appendix G - Form NF, repealed, 37 SDR 112, effective December 9, 2010