GENERAL PROVISIONS
- 90.211 - Definitions.
- 90.215 - “Administrator” defined.
- 90.220 - “Broker-dealer” defined.
- 90.223 - “Commission” defined.
- 90.225 - “Depository institution” defined.
- 90.230 - “Division” defined.
- 90.235 - “Filing” and “file” defined.
- 90.240 - “Financial or institutional investor” defined.
- 90.245 - “Fraud,” “deceit” and “defraud” defined.
- 90.250 - “Investment adviser” defined.
- 90.255 - “Issuer” defined.
- 90.260 - “Nonissuer transaction” defined.
- 90.265 - “Person” defined.
- 90.270 - “Price amendment” defined.
- 90.275 - “Promoter” defined.
- 90.276 - “Provider of viatical settlements” defined.
- 90.277 - Record” defined.
- 90.278 - “Representative of an investment adviser” defined.
- 90.280 - “Sale” and “sell” defined.
- 90.285 - “Sales representative” defined.
- 90.290 - “Securities Act of 1933,” “Securities Exchange Act of 1934,” “Public Utility Holding Company Act of 1935,” “Investment Company Act of 1940,” “Investment Advisers Act of 1940,” “Employees Reti
- 90.292 - “Securities exchange” defined.
- 90.295 - “Security” defined.
- 90.300 - “Self-regulatory organization” defined.
- 90.305 - “State” defined.
- 90.307 - “Transfer agent” defined.
- 90.308 - “Viatical settlement investment” defined.