Chapter 460-21B - Broker-dealer practices
- Section 460-21B-008 - Fraudulent practices of broker-dealers
- Section 460-21B-010 - Churning
- Section 460-21B-020 - Transmission or maintenance of payments received in connection with underwritings
- Section 460-21B-030 - Minimum net capital requirement for broker-dealers
- Section 460-21B-040 - Net capital defined
- Section 460-21B-050 - Books and records of broker-dealers
- Section 460-21B-060 - Dishonest or unethical business practices - Broker-dealers
- Section 460-21B-070 - Supervision of securities salespersons