Chapter 517 - SECURITIES TRANSACTIONS
- Section 517.011 - Short title
- Section 517.021 - Definitions
- Section 517.03 - Rulemaking; immunity for acts in conformity with rules
- Section 517.051 - Exempt securities
- Section 517.061 - Exempt transactions
- Section 517.0611 - Intrastate crowdfunding
- Section 517.07 - Registration of securities
- Section 517.072 - Viatical settlement investments
- Section 517.075 - Cuba, prospectus disclosure of doing business with, required
- Section 517.081 - Registration procedure
- Section 517.082 - Registration by notification; federal registration statements
- Section 517.101 - Consent to service
- Section 517.111 - Revocation or denial of registration of securities
- Section 517.12 - Registration of dealers, associated persons, intermediaries, and investment advisers
- Section 517.1201 - Notice filing requirements for federal covered advisers
- Section 517.1202 - Notice-filing requirements for branch offices
- Section 517.1205 - Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval
- Section 517.121 - Books and records requirements; examinations
- Section 517.1214 - Continuing education requirements for associated persons of investment advisers and federal covered advisers
- Section 517.1215 - Requirements, rules of conduct, and prohibited business practices for investment advisers and their associated persons
- Section 517.1217 - Rules of conduct and prohibited business practices for dealers and their associated persons and for intermediaries
- Section 517.122 - Arbitration
- Section 517.131 - Securities Guaranty Fund
- Section 517.141 - Payment from the fund
- Section 517.151 - Investments of the fund
- Section 517.161 - Revocation, denial, or suspension of registration of dealer, investment adviser, intermediary, or associated person
- Section 517.1611 - Guidelines
- Section 517.171 - Burden of proof
- Section 517.181 - [Repealed]
- Section 517.191 - Injunction to restrain violations; civil penalties; enforcement by Attorney General
- Section 517.201 - Investigations; examinations; subpoenas; hearings; witnesses
- Section 517.2015 - Confidentiality of information relating to investigations and examinations
- Section 517.2016 - Public records exemption; examination techniques or procedures
- Section 517.211 - Remedies available in cases of unlawful sale
- Section 517.221 - Cease and desist orders
- Section 517.241 - Remedies
- Section 517.275 - Commodities; prohibited practices
- Section 517.301 - Fraudulent transactions; falsification or concealment of facts
- Section 517.302 - Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution
- Section 517.311 - False representations; deceptive words; enforcement
- Section 517.312 - Securities, investments, boiler rooms; prohibited practices; remedies
- Section 517.313 - Destroying certain records; reproduction
- Section 517.315 - Fees
- Section 517.32 - Exemption from excise tax, certain obligations to pay
- Section 517.34 - Protection of specified adults