Chapter 10-04 - SUPERVISION OF ISSUE AND SALE OF SECURITIES

Section 10-04-01 - Title
Section 10-04-02 - Definitions
Section 10-04-03 - Administration of chapter
Section 10-04-04 - Registration of securities
Section 10-04-04.1 - Agent or investment adviser representative records - Exempt record
Section 10-04-05 - Exempt securities
Section 10-04-06 - Exempt transactions
Section 10-04-06.1 - Suspension and revocation of exemptions
Section 10-04-06.2 - Legacy fund investments - Notice filing
Section 10-04-07 - [Repealed]
Section 10-04-07.1 - Registration by announcement - Secondary
Section 10-04-07.2 - Registration by coordination
Section 10-04-08 - Registration by qualification
Section 10-04-08.1 - Authority of commissioner
Section 10-04-08.2 - Advertising matter - Regulations
Section 10-04-08.3 - Unlawful representations concerning registration or exemption
Section 10-04-08.4 - Federal covered security
Section 10-04-08.5 - Financial exploitation - Vulnerable adult
Section 10-04-09 - Suspension or revocation of registration of securities
Section 10-04-10 - Registration of broker-dealers, agents, investment advisers, and investment adviser representatives - Notice filings by federal covered advisers
Section 10-04-10.1 - Advisory activities
Section 10-04-10.2 - [Repealed]
Section 10-04-10.3 - Postregistration provisions
Section 10-04-11 - Suspension or revocation of broker-dealer's, agent's, investment adviser's, and investment adviser representative's registration
Section 10-04-12 - Hearings
Section 10-04-12.1 - [Repealed]
Section 10-04-13 - [Repealed]
Section 10-04-14 - Service of process
Section 10-04-15 - Fraudulent practices
Section 10-04-16 - Orders, injunctions, and prosecutions for violations - Civil penalty
Section 10-04-16.1 - Investigations and subpoenas
Section 10-04-17 - Remedies
Section 10-04-18 - Penalties
Section 10-04-19 - Evidentiary matters
Section 10-04-20 - [Repealed]
Section 10-04-21 - Restitution assistance fund - Continuing appropriation