Rule 12.01.08 - RULES PURSUANT TO THE UNIFORM SECURITIES ACT (2004)

Section 12.01.08.000 - LEGAL AUTHORITY
Section 12.01.08.001 - SCOPE
Section 12.01.08.002. - 003 - RESERVED
Section 12.01.08.004 - SECURITIES EXEMPTIONS, OPINIONS, AND NO-ACTION LETTERS
Section 12.01.08.005 - INCORPORATION BY REFERENCE
Section 12.01.08.006. - 009 - RESERVED
Section 12.01.08.010 - DEFINITIONS
Section 12.01.08.011. - 019 - RESERVED
Section 12.01.08.020 - APPLICATION FOR REGISTRATION OF SECURITIES
Section 12.01.08.021 - AMENDMENTS TO REGISTRATION STATEMENT
Section 12.01.08.022 - FINANCIAL STATEMENTS
Section 12.01.08.023. - 035 - RESERVED
Section 12.01.08.036 - NASAA STATEMENTS OF POLICY - REGISTERED OFFERINGS
Section 12.01.08.037 - REGISTRATION OF DEBT SECURITIES
Section 12.01.08.038 - WITHDRAWAL/ABANDONMENT OF A REGISTRATION STATEMENT
Section 12.01.08.039 - REPORT OF COMPLETION OF OFFERING
Section 12.01.08.040 - ANNUAL REPORT FOR THE RENEWAL OF A REGISTRATION STATEMENT
Section 12.01.08.041 - SUBSCRIPTION AGREEMENT
Section 12.01.08.042 - DELIVERY OF PROSPECTUS
Section 12.01.08.043 - REGISTRATIONS - NOTICE OF INTENDED IDAHO BROKER - DEALER OR AGENT
Section 12.01.08.044 - RECORDS TO BE PRESERVED BY ISSUERS
Section 12.01.08.045 - EXAMINATION OF APPLICATION
Section 12.01.08.046 - ON-SITE EXAMINATION OF ISSUERS
Section 12.01.08.047 - ADVERTISING
Section 12.01.08.048 - DEPARTMENT ACCESS
Section 12.01.08.049. - 051 - RESERVED
Section 12.01.08.052 - ISSUER AGENT REGISTRATION
Section 12.01.08.053 - FEDERAL COVERED SECURITIES (RULE 53)
Section 12.01.08.054 - NOT FOR PROFIT DEBT SECURITIES NOTICE FILING
Section 12.01.08.055 - MORTGAGE NOTE EXEMPTION
Section 12.01.08.056 - MANUAL EXEMPTION
Section 12.01.08.057 - MINING, OIL OR GAS EXPLORATION EXEMPTION REQUIREMENTS
Section 12.01.08.058 - STOCK EXCHANGE LISTED SECURITIES
Section 12.01.08.059 - RESERVED
Section 12.01.08.060 - REGISTRATION OR EXEMPTION OF " BLIND POOL" OFFERINGS PROHIBITED
Section 12.01.08.061 - CROSS-BORDER TRANSACTIONS EXEMPTION
Section 12.01.08.062 - DESIGNATED MATCHING SERVICES
Section 12.01.08.063. - 077 - RESERVED
Section 12.01.08.078 - IMPLEMENTATION OF CRD
Section 12.01.08.079 - IMPLEMENTATION OF IARD
Section 12.01.08.080 - BROKER-DEALER REGISTRATION - APPLICATION/RENEWAL
Section 12.01.08.081 - WITHDRAWAL OF BROKER - DEALER AND AGENT REGISTRATION
Section 12.01.08.082 - WITHDRAWAL OF AGENT OF ISSUER REGISTRATION
Section 12.01.08.083 - BROKER-DEALER AGENT/ISSUER AGENT REGISTRATION
Section 12.01.08.084 - CROSS-BORDER LICENSING EXEMPTION
Section 12.01.08.085 - RELICENSING (FORMERLY TEMPORARY AGENT TRANSFER (TAT) SYSTEM)
Section 12.01.08.086 - AGENT TERMINATION
Section 12.01.08.087 - NET CAPITAL REQUIREMENTS FOR BROKER-DEALERS
Section 12.01.08.088 - RECORDS REQUIRED FOR BROKER-DEALERS
Section 12.01.08.089 - INVESTMENT ADVISER REGISTRATION - APPLICATION/RENEWAL
Section 12.01.08.090 - INVESTMENT ADVISER REPRESENTATIVE REGISTRATION - APPLICATION/RENEWAL
Section 12.01.08.091 - WITHDRAWAL OF INVESTMENT ADVISER AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATION
Section 12.01.08.092 - NOTICE FILING REQUIREMENTS FOR FEDERAL COVERED ADVISERS
Section 12.01.08.093 - RECORDS REQUIRED OF INVESTMENT ADVISERS
Section 12.01.08.094 - CLIENT CONTRACTS - INVESTMENT ADVISERS
Section 12.01.08.095 - INVESTMENT ADVISER BROCHURE RULE
Section 12.01.08.096 - REQUIREMENTS FOR CUSTODY
Section 12.01.08.097 - INVESTMENT ADVISER AFFILIATION WITH BROKER-DEALERS/ISSUERS/AGENTS
Section 12.01.08.098 - NAMES USED BY BROKER-DEALERS AND INVESTMENT ADVISERS
Section 12.01.08.099 - CIRCUMVENTION OF ORDERS PROHIBITED
Section 12.01.08.100 - WAIVER BY ADMINISTRATOR
Section 12.01.08.101 - NOTIFICATION OF OPENING, CLOSING OR RELOCATION OF BRANCH OFFICES
Section 12.01.08.102 - CANCELLATION OF REGISTRATION OR APPLICATION - GROUNDS
Section 12.01.08.103 - EXAMINATION REQUIREMENTS
Section 12.01.08.104 - FRAUDULENT, DISHONEST AND UNETHICAL PRACTICES - BROKER-DEALER, BROKER-DEALER AGENTS, ISSUER AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES
Section 12.01.08.105 - SUPERVISION OF AGENTS, INVESTMENT ADVISER REPRESENTATIVES AND EMPLOYEES
Section 12.01.08.106. - 999 - RESERVED