Idaho · Regulations
Chapter 12.01.08 — Rules Pursuant to the Uniform Securities Act (2004)
50 sections
50 sections
- IDAPA 12.01.08.000Legal Authority
- IDAPA 12.01.08.001Scope
- IDAPA 12.01.08.004Interpretive Opinions
- IDAPA 12.01.08.005Incorporation By Reference
- IDAPA 12.01.08.010Definitions
- IDAPA 12.01.08.020Application For Registration Of Securities
- IDAPA 12.01.08.021Amendments To Registration Statement
- IDAPA 12.01.08.036Nasaa Statements Of Policy -- Registered Offerings
- IDAPA 12.01.08.037Registration Of Debt Securities
- IDAPA 12.01.08.038Withdrawal/Abandonment Of A Registration Statement
- IDAPA 12.01.08.039Report Of Completion Of Offering
- IDAPA 12.01.08.040Annual Report For The Renewal Of A Registration Statement
- IDAPA 12.01.08.041Subscription Agreement
- IDAPA 12.01.08.042Delivery Of Prospectus
- IDAPA 12.01.08.043Registrations -- Notice Of Intended Idaho Broker -- Dealer Or Agent
- IDAPA 12.01.08.044Records To Be Preserved By Issuers
- IDAPA 12.01.08.052Issuer Agent Registration
- IDAPA 12.01.08.053Federal Covered Securities (Rule 53)
- IDAPA 12.01.08.054Not For Profit Debt Securities Notice Filing
- IDAPA 12.01.08.055Mortgage Note Exemption
- IDAPA 12.01.08.056Manual Exemption
- IDAPA 12.01.08.057Mining, Oil Or Gas Exploration Exemption Requirements
- IDAPA 12.01.08.058Stock Exchange Listed Securities
- IDAPA 12.01.08.060Registration Or Exemption Of “Blind Pool” Offerings Prohibited
- IDAPA 12.01.08.061Cross-Border Transactions Exemption
- IDAPA 12.01.08.078Implementation Of Crd
- IDAPA 12.01.08.079Implementation Of Iard
- IDAPA 12.01.08.080Broker-Dealer Registration -- Application/Renewal
- IDAPA 12.01.08.081Withdrawal Of Broker -- Dealer And Agent Registration
- IDAPA 12.01.08.082Withdrawal Of Issuer Agent Registration
- IDAPA 12.01.08.083Broker-Dealer Agent/Issuer Agent Registration
- IDAPA 12.01.08.084Cross-Border Licensing Exemption
- IDAPA 12.01.08.085Relicensing (Formerly Temporary Agent Transfer (Tat) System)
- IDAPA 12.01.08.086Agent Termination
- IDAPA 12.01.08.087Net Capital Requirements For Broker-Dealers
- IDAPA 12.01.08.088Records Required For Broker-Dealers
- IDAPA 12.01.08.089Investment Adviser Registration -- Application/Renewal
- IDAPA 12.01.08.090Investment Adviser Representative Registration – Application/Renewal
- IDAPA 12.01.08.092Notice Filing Requirements For Federal Covered Advisers
- IDAPA 12.01.08.093Records Required Of Investment Advisers
- IDAPA 12.01.08.094Client Contracts – Investment Advisers
- IDAPA 12.01.08.095Investment Adviser Brochure Rule
- IDAPA 12.01.08.096Requirements For Custody
- IDAPA 12.01.08.097Investment Adviser Affiliation With Broker-Dealers/Issuers/Agents
- IDAPA 12.01.08.098Names Used By Broker-Dealers And Investment Advisers
- IDAPA 12.01.08.099Circumvention Of Orders Prohibited
- IDAPA 12.01.08.100Waiver By Administrator
- IDAPA 12.01.08.101Notification Of Opening, Closing Or Relocation Of Branch Offices
- IDAPA 12.01.08.102Cancellation Of Registration Or Application -- Grounds
- IDAPA 12.01.08.103Examination Requirements