Mississippi · Regulations
Part 14: Securities Regulation
120 sections
120 sections
- 1 MAC Pt. 14, R. 1.01Address and Office Hours
- 1 MAC Pt. 14, R. 1.03Definitions
- 1 MAC Pt. 14, R. 1.05Statutory Terms
- 1 MAC Pt. 14, R. 1.07Filing Materials and Fees
- 1 MAC Pt. 14, R. 1.09Applications Generally
- 1 MAC Pt. 14, R. 1.11Procedure with Respect to Abandoned Applications
- 1 MAC Pt. 14, R. 1.13Advertising and Sales Literature
- 1 MAC Pt. 14, R. 1.15Variance from Rules
- 1 MAC Pt. 14, R. 1.17Oral Opinions
- 1 MAC Pt. 14, R. 1.19Statement of Policy Regarding Public Access to Non-Investigatory Records
- 1 MAC Pt. 14, R. 1.21Statement of Policy Regarding Investigative Information
- 1 MAC Pt. 14, R. 1.23Interpretations by the Division
- 1 MAC Pt. 14, R. 1.25Disposal of Unnecessary Filings
- 1 MAC Pt. 14, R. 2.01Coordination Application and Contents
- 1 MAC Pt. 14, R. 2.03Qualification Application and Contents
- 1 MAC Pt. 14, R. 2.04Invest Mississippi Crowdfunding Simplified Registration Statement
- 1 MAC Pt. 14, R. 2.05Prospectus
- 1 MAC Pt. 14, R. 2.07Legend Requirement
- 1 MAC Pt. 14, R. 2.09Solicitation of Interest/Preliminary Prospectus
- 1 MAC Pt. 14, R. 2.11Dilution
- 1 MAC Pt. 14, R. 2.13Expenses Limitations
- 1 MAC Pt. 14, R. 2.15NASAA Statements of Policy
- 1 MAC Pt. 14, R. 2.17Certification of Registration/Re-registration of Securities
- 1 MAC Pt. 14, R. 2.19Amended Certification of Registration
- 1 MAC Pt. 14, R. 2.21Notice of Withdrawal or Completion of Offering of Securities under Registration by
- 1 MAC Pt. 14, R. 2.23Subscription Agreements
- 1 MAC Pt. 14, R. 2.25Notice Filings for Offerings of Investment Company Securities
- 1 MAC Pt. 14, R. 2.27ReservedReserved
- 1 MAC Pt. 14, R. 2.29Notice Filings for Rule 506 Offerings
- 1 MAC Pt. 14, R. 2.31Notice Filings for Regulation A Tier 2 Offerings
- 1 MAC Pt. 14, R. 2.33Notice Filings for Title III Federal Crowdfunding Offerings
- 1 MAC Pt. 14, R. 4.01Notice Filers
- 1 MAC Pt. 14, R. 4.03Registration by Coordination or Qualification
- 1 MAC Pt. 14, R. 4.05ReservedReserved
- 1 MAC Pt. 14, R. 4.07ReservedReserved
- 1 MAC Pt. 14, R. 4.09ReservedReserved
- 1 MAC Pt. 14, R. 4.11ReservedReserved
- 1 MAC Pt. 14, R. 4.13Broker-Dealers and Broker-Dealer Agents
- 1 MAC Pt. 14, R. 4.15The application for annual renewal registration shall also include, if
- 1 MAC Pt. 14, R. 4.17Issuer Agents
- 1 MAC Pt. 14, R. 4.19ReservedReserved
- 1 MAC Pt. 14, R. 4.21ReservedReserved
- 1 MAC Pt. 14, R. 4.23Certificates of Authenticity
- 1 MAC Pt. 14, R. 4.25ReservedReserved
- 1 MAC Pt. 14, R. 5.01Application for Broker-Dealer
- 1 MAC Pt. 14, R. 5.03Minimum Financial Requirements and Financial Reporting Requirements of Broker-
- 1 MAC Pt. 14, R. 5.05Bonding Requirements for Intrastate Broker-Dealers
- 1 MAC Pt. 14, R. 5.07Change of Material Information; Amendments
- 1 MAC Pt. 14, R. 5.09Financial Reporting
- 1 MAC Pt. 14, R. 5.11Renewal of Registration
- 1 MAC Pt. 14, R. 5.13Withdrawal of Registration
- 1 MAC Pt. 14, R. 5.15Record Keeping Requirements of Broker-Dealers
- 1 MAC Pt. 14, R. 5.17Preservation of Records
- 1 MAC Pt. 14, R. 5.19Supervision
- 1 MAC Pt. 14, R. 5.21Standards of Conduct
- 1 MAC Pt. 14, R. 5.23Agent Registration and Termination (FINRA)
- 1 MAC Pt. 14, R. 5.25Agent Registration and Termination (non-FINRA)
- 1 MAC Pt. 14, R. 5.27Dual Registration
- 1 MAC Pt. 14, R. 5.29Written Examinations
- 1 MAC Pt. 14, R. 5.31Issuers and Issuer Agents
- 1 MAC Pt. 14, R. 5.33Registration Exemption – Canadian Cross-Border Trading
- 1 MAC Pt. 14, R. 5.35Registration Exemption for Merger and Acquisition Brokers
- 1 MAC Pt. 14, R. 6.01Definitions
- 1 MAC Pt. 14, R. 6.03Electronic Filing with Designated Entity
- 1 MAC Pt. 14, R. 6.05Application for Investment Adviser Registration
- 1 MAC Pt. 14, R. 6.07Bonding Requirements for Investment Advisers
- 1 MAC Pt. 14, R. 6.09Minimum Financial Requirements for Investment Advisers
- 1 MAC Pt. 14, R. 6.11Financial Reporting for Investment Advisers
- 1 MAC Pt. 14, R. 6.12Investment Adviser Representative: Examination Validity Extension Program
- 1 MAC Pt. 14, R. 6.13Investment Adviser Representative: Registration, Renewal, and Withdrawal
- 1 MAC Pt. 14, R. 6.14Investment Adviser Representative Continuing Education
- 1 MAC Pt. 14, R. 6.15Notice Filing Requirements for Federal Covered Advisers
- 1 MAC Pt. 14, R. 6.17Change of Material Information; Amendment
- 1 MAC Pt. 14, R. 6.19Record Keeping Requirements for Investment Advisers
- 1 MAC Pt. 14, R. 6.21Segregated Accounts
- 1 MAC Pt. 14, R. 6.23Compliance-Supervision
- 1 MAC Pt. 14, R. 6.25Standards of Conduct
- 1 MAC Pt. 14, R. 6.27Commingling of Accounts Prohibited
- 1 MAC Pt. 14, R. 6.29Brochure Rule
- 1 MAC Pt. 14, R. 6.31Solicitor Rule
- 1 MAC Pt. 14, R. 6.33ReservedReserved
- 1 MAC Pt. 14, R. 6.35Custody of Client Funds or Securities by Investment Advisers
- 1 MAC Pt. 14, R. 7.01ReservedReserved
- 1 MAC Pt. 14, R. 7.03Exemption from Registration for Certain Offerings by Domestic Issuers
- 1 MAC Pt. 14, R. 7.05Markets Exemption
- 1 MAC Pt. 14, R. 7.07Recognized Securities Manuals
- 1 MAC Pt. 14, R. 7.09NASDAQ/NMS Exemption
- 1 MAC Pt. 14, R. 7.11Internet Solicitations Exemption
- 1 MAC Pt. 14, R. 7.13Exemption of Certain Cooperative Securities
- 1 MAC Pt. 14, R. 7.15Exemption of Certain Securities of Cross-Border Transactions
- 1 MAC Pt. 14, R. 7.17Accredited Investor Exemption
- 1 MAC Pt. 14, R. 7.19Broker-Dealers, Investment Advisers, Broker-Dealer Agents, and Investment Adviser
- 1 MAC Pt. 14, R. 7.21Invest Mississippi Crowdfunding Intrastate Exemption
- 1 MAC Pt. 14, R. 7.23Invest Mississippi Crowdfunding Small Offering Exemption
- 1 MAC Pt. 14, R. 8.01ReservedReserved
- 1 MAC Pt. 14, R. 8.03Timely Request for a Hearing - Contents and Service of Summary Order
- 1 MAC Pt. 14, R. 8.05Assignment of Hearing Officer - Setting of Hearing
- 1 MAC Pt. 14, R. 8.07Witnesses
- 1 MAC Pt. 14, R. 8.09Documents
- 1 MAC Pt. 14, R. 8.11Failure to Appear at Hearing