Division 205 - DENIAL, SUSPENSION, OR REVOCATION OF LICENSE
- Section 441-205-0010 - Dishonest, Fraudulent, Unfair and Unethical Practices
- Section 441-205-0020 - General Definition
- Section 441-205-0030 - Confirmation of Transaction
- Section 441-205-0040 - Disclosure of Control
- Section 441-205-0050 - Disclosure of Interest in Distributions
- Section 441-205-0060 - Sales at the Market
- Section 441-205-0070 - Use of Pro Forma Balance Sheets
- Section 441-205-0080 - Disclosure and Other Requirements When Extending or Arranging Credit in Certain Transactions
- Section 441-205-0090 - Identification of Quotations
- Section 441-205-0100 - Discretionary Accounts
- Section 441-205-0110 - Hypothecation of Customer's Securities
- Section 441-205-0120 - Transmission or Maintenance of Payments Received in Connection With Underwritings
- Section 441-205-0130 - Fair Dealing with Customers
- Section 441-205-0135 - Sales of Securities or Investment Advisory Services at Financial Institutions or Trust Companies
- Section 441-205-0140 - Suitability of Recommendations
- Section 441-205-0145 - Unethical Business Practices of State Investment Advisers and Their Investment Adviser Representatives
- Section 441-205-0165 - Investment Adviser Brochure
- Section 441-205-0170 - Compensation of Investment Advisers
- Section 441-205-0180 - Custody or Possession of Funds or Securities of Clients by Investment Advisers
- Section 441-205-0190 - Disclosure of Capacity
- Section 441-205-0200 - Advertisements by Investment Advisers
- Section 441-205-0210 - Supervision of Associated Persons