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