Louisiana · Regulations
Subpart 1
67 sections
11 groups
- Chapter 1 — General Requirements27 sections
- Chapter 3 — Form and Content of Prospectus12 sections
- Chapter 5 — Standards of Qualification8 sections
- Chapter 7 — Private Offering Exemptions4 sections
- Chapter 8 — Compensatory Benefit Plans1 section
- Chapter 9 — Oil and Gas Auction1 section
- Chapter 11 — Stock Exchanges2 sections
- Chapter 12 — Dishonest or Unethical Practices3 sections
- Chapter 13 — Investment Adviser Registration Procedure5 sections
- Chapter 17 — Dealer and Investment Adviser Recordkeeping Requirements3 sections
- Chapter 19 — Supervision of Salesmen and Investment Adviser Representatives1 section