Rule R331-5 - Rule Governing Sale of Securities by Persons Issuing Securities, Who Are Under the Jurisdiction of the Department of Financial Institutions
- Section R331-5-1 - Authority, Scope and Purpose
- Section R331-5-2 - Definitions
- Section R331-5-3 - Registration with the Department
- Section R331-5-4 - Offering Circular Requirements
- Section R331-5-5 - Securities Sale Report
- Section R331-5-6 - Limitations on Resale of "Restricted Securities"
- Section R331-5-7 - Remuneration Paid for Solicitation or for Sales
- Section R331-5-8 - Manipulative and Deceptive Devices
- Section R331-5-9 - Waiver
- Section R331-5-10 - Penalties for Violation