GroundRules
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- 30-10-111 · 30-10-111 through 30-10-114 reserved.
- 30-10-115 · Deposits to general fund -- exceptions.
- 30-10-116 · Repealed.
- 30-10-117 · Repealed.
- 30-10-118 · Repealed.
- 30-10-119 · Records.
- 30-10-201 · Registration and notice filing requirements of broker-dealers, salespersons, investment advisers, and investment adviser representatives.
- 30-10-202 · Registration of securities.
- 30-10-203 · Registration by notification.
- 30-10-204 · Registration by coordination.
- 30-10-205 · Registration by qualification.
- 30-10-206 · General provisions regarding registration of securities.
- 30-10-207 · Denial, suspension, and revocation of registration of securities.
- 30-10-208 · Consent to service of process -- manner of service.
- 30-10-209 · Fees.
- 30-10-210 · Examination costs.
- 30-10-211 · Federal covered securities.
- 30-10-212 · 30-10-212 through 30-10-215 reserved.
- 30-10-216 · Repealed.
- 30-10-301 · Fraudulent and other prohibited practices.
- 30-10-302 · Misleading filings.
- 30-10-303 · Unlawful representation concerning registration or exemption.
- 30-10-304 · Investigations and subpoenas.
- 30-10-305 · (Temporary) Injunctions and other remedies -- limitations on actions.
- 30-10-305 · (Effective July 1, 2027) Injunctions and other remedies -- limitations on actions.
- 30-10-306 · Criminal liabilities.
- 30-10-307 · Civil liabilities -- limitations on actions.
- 30-10-308 · Judicial review of orders.
- 30-10-309 · Securities restitution.
- 30-10-310 · Reporting requirements.
- 30-10-311 · 30-10-311 through 30-10-314 reserved.
- 30-10-315 · Requirements for securities fraud actions -- definition.
- 30-10-316 · Sanctions.
- 30-10-317 · Defendant's right to written interrogatories.
- 30-10-318 · Limitation on damages.
- 30-10-319 · Applicability of safe harbor for forward-looking statements.
- 30-10-320 · Prohibition of referral fees.
- 30-10-321 · Prosecution of persons aiding violations.
- 30-10-322 · Loss causation.
- 30-10-323 · Construction.
- 30-10-324 · Definitions.
- 30-10-325 · Operating pyramid promotional scheme unlawful.
- 30-10-326 · Repealed.
- 30-10-327 · Multilevel marketing company -- notice of activity -- consent to service.
- 30-10-328 · 30-10-328 through 30-10-339 reserved.
- 30-10-340 · Governmental disclosure -- immunity.
- 30-10-341 · Third-party disclosure -- immunity.
- 30-10-342 · Delaying disbursements -- immunity.
- 30-10-401 · Repealed.
- 30-10-402 · Repealed.
- 30-10-403 · Repealed.
- 30-10-404 · Repealed.
- 30-10-405 · Repealed.
- 30-10-406 · Repealed.
- 30-10-407 · Repealed.
- 30-10-408 · Repealed.
- 30-10-409 · Repealed.
- 30-10-410 · Repealed.
- 30-10-411 · Repealed.
- 30-10-901 · Short title.
- 30-10-902 · Purpose.
- 30-10-903 · Definitions.
- 30-10-904 · Licensure -- exemption.
- 30-10-905 · Administration.
- 30-10-906 · Scope.
- 30-10-907 · Fines and fees -- deposit to general fund.
- 30-10-908 · Consent to service of process -- manner of service.
- 30-10-909 · Fraudulent and other prohibited practices.
- 30-10-910 · Misleading filings.
- 30-10-911 · Unlawful representation concerning approval of application.
- 30-10-912 · Investigations and subpoenas.
- 30-10-913 · Injunctions and other remedies -- limitations on actions -- criminal sanctions.
- 30-10-914 · Judicial review of orders.
- 30-10-915 · Civil liabilities -- limitations on actions.
- 30-10-1001 · (Temporary) Short title.
- 30-10-1002 · (Temporary) Purpose.
- 30-10-1003 · (Temporary) Definitions.
- 30-10-1004 · (Temporary) Creation of securities restitution assistance fund.
- 30-10-1005 · (Temporary) Eligibility.
- 30-10-1006 · (Temporary) Application for restitution assistance -- maximum amount of restitution assistance award.
- 30-10-1007 · (Temporary) False application -- penalties -- statute of limitations.
- 30-10-1008 · (Temporary) Rulemaking authority.
- 30-10-1101 · Short title.
- 30-10-1102 · Purpose.
- 30-10-1103 · Definitions.
- 30-10-1104 · Authority to make whistleblower award.
- 30-10-1105 · Anonymous whistleblower complaints.
- 30-10-1106 · Amount of whistleblower award.
- 30-10-1107 · Discretion to determine amount of whistleblower award.
- 30-10-1108 · Source of payment of whistleblower award.
- 30-10-1109 · Factors used to determine amount of whistleblower award.
- 30-10-1110 · Disqualification from award.
- 30-10-1111 · Protection of whistleblowers and internal reporters.
- 30-11-101 · Sale defined.
- 30-11-102 · Subject of sale.
- 30-11-103 · Agreement for sale.
- 30-11-104 · Agreement to sell.
- 30-11-105 · Agreement to buy.
- 30-11-106 · Agreement to sell and buy.
- 30-11-107 · What may be the subject of the contract.