Chapter 1707: SECURITIES
- 1707.01 Securities definitions.
- 1707.02 Exempt securities.
- 1707.03 Exempt transactions.
- 1707.04 Issuance of securities in reorganizations.
- 1707.041 Control bids made pursuant to tender offer or request or invitation for tenders.
- 1707.042 Prohibited acts relating to control bids.
- 1707.043 Preventing manipulative practices.
- 1707.05 [Repealed].
- 1707.06 Transactions requiring registration.
- 1707.07 [Repealed].
- 1707.08 Registration by description.
- 1707.09 Registration by qualification.
- 1707.091 Registration by coordination.
- 1707.092 Notice filings.
- 1707.093 Electronic filings.
- 1707.10 Provisional registration by qualification.
- 1707.11 Consent to service.
- 1707.12 Documents open to inspection.
- 1707.13 Suspension and revocation of registration.
- 1707.131 Refusing registration.
- 1707.14 Dealer's license.
- 1707.141 Investment adviser's license required - exceptions - notice filing requirement.
- 1707.142 Compliance with federal laws - federal documents to be filed with division.
- 1707.15 Applying for dealer's license.
- 1707.151 Application for and issuance of investment adviser's license.
- 1707.16 Application for and issuance of salesperson's license.
- 1707.161 Investment adviser representative's license required - exceptions - application for and issuance of investment adviser representative's license.
- 1707.162 State retirement system investment adviser license required.
- 1707.163 Application for and issuance of state retirement system investment adviser license.
- 1707.164 Bureau chief investment officer - securities license required.
- 1707.165 Application for bureau chief investment officer - investigation - examination.
- 1707.17 Renewal - license fees.
- 1707.18 Application for transfer of license.
- 1707.19 Refusal, suspension, and revocation of license.
- 1707.20 Adopting, amending, and rescinding rules, forms, and orders.
- 1707.201 Federal provisions.
- 1707.21 Registration statement may be filed with securities and exchange commission.
- 1707.22 Appeals - effect of order.
- 1707.23 Division of securities - enforcement powers.
- 1707.24 Contempt proceedings.
- 1707.25 Injunction against issuance, sale, acting as an investment adviser or acting as an investment adviser representative.
- 1707.26 Injunction against violations.
- 1707.261 Director's request for restitution or rescission.
- 1707.27 Appointment of receiver.
- 1707.28 Statute of limitations.
- 1707.29 Presumption of knowledge.
- 1707.30 Certificate of division as evidence.
- 1707.31 Certified copies as evidence.
- 1707.32 Insurance securities.
- 1707.33, 1707.331 [Repealed].
- 1707.34 Warehouse receipts for intoxicating liquor.
- 1707.35 Securities authorized before July 22, 1929.
- 1707.36 Attorney-inspector - control-bid attorneys.
- 1707.37 Division of securities fund.
- 1707.38 Effect of violation on validity of security.
- 1707.39 Qualification of securities sold without compliance.
- 1707.391 Late applications.
- 1707.40 Civil liabilities.
- 1707.41 Civil liability of seller for fraud.
- 1707.42 Civil liability of adviser.
- 1707.43 Remedies of purchaser in unlawful sale.
- 1707.431 Claiming exemption for publicly advertised meeting.
- 1707.432 to 1707.439 [Repealed].
- 1707.44 Prohibited acts.
- 1707.45 Burden of proof.
- 1707.46 Duties of commissioner of securities.
- 1707.47 [Repealed].
- 1707.48 Division of securities to retain documents and records or copies.
- 1707.99 Penalty.