NM Securities Rules
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Securities Division
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- Statute and Rules
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12.11.1 General Provisions
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12.11.2 Broker-Dealers and Agents
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12.11.3 Broker-Dealer and Agent Records
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12.11.4 Broker-Dealer and Agents Rules of Conduct and Prohibited Business Practices
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12.11.5 Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers
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12.11.6 Investment Advisers and Investment Adviser Representatives Records
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12.11.7 Investment Advisers and Investment Adviser Representatives Rules of Conduct and Prohibited Practices
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12.11.8 Registration of Securities – General Provisions
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12.11.9 Standards Applicable to Registered Offerings
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12.11.10 Small Company Offering Registration (SCOR)
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12.11.11 Exempt Securities
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12.11.12 Exempt Transactions
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12.11.13 Uniform Limited Offering Exemption
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12.11.14 Notice Filings for Offerings of Covered Securities
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12.11.15 Fraudulent Practices
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12.11.16 Forms
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