Department of Financial Institutions-Securities

Chapter DFI-Sec 1 - Title and definitions (§§ 1.01 — 1.02)
Chapter DFI-Sec 2 - Registration exemptions and federal covered security notice filings (§§ 2.01 — 2.04)
Chapter DFI-Sec 3 - Registration requirements and procedures (§§ 3.01 — 3.08)
Chapter DFI-Sec 4 - Registration of broker-dealers and agents (§§ 4.01 — 4.10)
Chapter DFI-Sec 5 - Registration and notice filing procedures for investment advisers, federal covered investment advisers, and investment adviser representatives (§§ 5.01 — 5.13)
Chapter DFI-Sec 6 - Fraudulent practices (§§ 6.01 — 6.05)
Chapter DFI-Sec 7 - General provisions (§§ 7.01 — 7.06)
Chapter DFI-Sec 8 - Administrative procedure (§§ 8.01 — 8.10)
Chapter DFI-Sec 9 - Forms (§ 9.01)
Chapter DFI-Sec 10 - Use of senior-specific certifications and professional designations (§§ 10.01 — 10.02)
Chapter DFI-Sec 11 - Investment Adviser Representative Continuing Education (§§ 11.01 — 11.10)
Chapter DFI-Sec 21 - Definitions (§ 21.01)
Chapter DFI-Sec 22 - Filing of ownership information (§§ 22.01 — 22.03)
Chapter DFI-Sec 23 - Registration of take-over offers (§ 23.01)
Chapter DFI-Sec 24 - Exemptions (§§ 24.01 — 24.02)
Chapter DFI-Sec 25 - False or misleading solicitation materials (§ 25.01)
Chapter DFI-Sec 26 - Fraudulent and deceptive practices (§ 26.01)
Chapter DFI-Sec 27 - General provisions (§ 27.01)
Chapter DFI-Sec 28 - Conformity with federal law (§ 28.01)
Chapter DFI-Sec 29 - Forms (§ 29.01)
Chapter DFI-Sec 31 - Definitions (§ 31.01)
Chapter DFI-Sec 32 - Exemption and registration of franchises (§§ 32.03 — 32.09)
Chapter DFI-Sec 34 - Fraudulent and prohibited practices (§ 34.01)
Chapter DFI-Sec 35 - General provisions (§§ 35.01 — 35.04)
Chapter DFI-Sec 36 - Administrative procedure (§ 36.01)