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North Dakota Code > Chapter 10-04 - Supervision of Issue and Sale of Securities

North Dakota Code > Title 10 > Chapter 10-04 - Supervision of Issue and Sale of Securities

^{Current as of: 2009}

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§ 10-04-01	Title
§ 10-04-02	Definitions
§ 10-04-03	Administration of chapter
§ 10-04-04	Registration of securities
§ 10-04-05	Exempt securities
§ 10-04-06	Exempt transactions
§ 10-04-06.1	Suspension and revocation of exemptions
§ 10-04-07.1	Registration by announcement - Secondary
§ 10-04-08	Registration by qualification
§ 10-04-08.1	Authority of commissioner
§ 10-04-08.2	Advertising matter - Regulations
§ 10-04-08.3	Unlawful representations concerning registration or exemption
§ 10-04-08.4	Federal covered security
§ 10-04-09	Suspension or revocation of registration of securities
§ 10-04-10	Registration of broker-dealers, agents, investment advisers, and investment adviser representatives - Notice filings by federal covered advisers
§ 10-04-10.1	Advisory activities
§ 10-04-10.3	Postregistration provisions
§ 10-04-11	Suspension or revocation of broker-dealer's, agent's, investment adviser's, and investment adviser representative's registration
§ 10-04-12	Hearings
§ 10-04-14	Service of process
§ 10-04-15	Fraudulent practices
§ 10-04-16	Orders, injunctions, and prosecutions for violations - Civil penalty
§ 10-04-16.1	Investigations and subpoenas
§ 10-04-17	Remedies
§ 10-04-18	Penalties
§ 10-04-19	Evidentiary matters

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Securities

North Dakota Code > Chapter 10-04 - Supervision of Issue and Sale of Securities

North Dakota Code > Title 10 > Chapter 10-04 - Supervision of Issue and Sale of Securities

North Dakota Laws: Securities

U.S. Code Provisions: Securities

Federal Regulations: Securities