North Dakota · Statutes

Chapter 10-04

36 sections

N.D. Cent. Code § 10-04-0110-04-01. Title
N.D. Cent. Code § 10-04-0210-04-02. Definitions
N.D. Cent. Code § 10-04-0310-04-03. Administration of chapterReserved
N.D. Cent. Code § 10-04-0410-04-04. Registration of securities
N.D. Cent. Code § 10-04-04.110-04-04.1. Agent or investment adviser representative records - Exempt record
N.D. Cent. Code § 10-04-0510-04-05. Exempt securities
N.D. Cent. Code § 10-04-0610-04-06. Exempt transactions
N.D. Cent. Code § 10-04-06.110-04-06.1. Suspension and revocation of exemptions
N.D. Cent. Code § 10-04-06.210-04-06.2. Legacy fund investments - Notice filing
N.D. Cent. Code § 10-04-0710-04-07. Registration by descriptionRepealed
N.D. Cent. Code § 10-04-07.110-04-07.1. Registration by announcement - Secondary
N.D. Cent. Code § 10-04-07.210-04-07.2. Registration by coordination
N.D. Cent. Code § 10-04-0810-04-08. Registration by qualification
N.D. Cent. Code § 10-04-08.110-04-08.1. Authority of commissioner
N.D. Cent. Code § 10-04-08.210-04-08.2. Advertising matter - Regulations
N.D. Cent. Code § 10-04-08.310-04-08.3. Unlawful representations concerning registration or exemption
N.D. Cent. Code § 10-04-08.410-04-08.4. Federal covered security
N.D. Cent. Code § 10-04-08.510-04-08.5. Financial exploitation - Vulnerable adult
N.D. Cent. Code § 10-04-0910-04-09. Suspension or revocation of registration of securities
N.D. Cent. Code § 10-04-1010-04-10. Registration of broker-dealers, agents, investment advisers, and investment adviser representatives - Notice filings by federal covered advisers
N.D. Cent. Code § 10-04-10.110-04-10.1. Advisory activities
N.D. Cent. Code § 10-04-10.210-04-10.2. Conviction not bar to registration - ExceptionsRepealed
N.D. Cent. Code § 10-04-10.310-04-10.3. Postregistration provisions
N.D. Cent. Code § 10-04-1110-04-11. Suspension or revocation of broker-dealer's, agent's, investment adviser's, and investment adviser representative's registration
N.D. Cent. Code § 10-04-1210-04-12. Hearings
N.D. Cent. Code § 10-04-12.110-04-12.1. Board of reviewRepealed
N.D. Cent. Code § 10-04-1310-04-13. AppealsRepealed
N.D. Cent. Code § 10-04-1410-04-14. Service of process
N.D. Cent. Code § 10-04-1510-04-15. Fraudulent practices
N.D. Cent. Code § 10-04-1610-04-16. Orders, injunctions, and prosecutions for violations - Civil penalty
N.D. Cent. Code § 10-04-16.110-04-16.1. Investigations and subpoenas
N.D. Cent. Code § 10-04-1710-04-17. Remedies
N.D. Cent. Code § 10-04-1810-04-18. Penalties
N.D. Cent. Code § 10-04-1910-04-19. Evidentiary matters
N.D. Cent. Code § 10-04-2010-04-20. Repeal of certain prior laws, saving of certain rights and liabilities thereunderRepealed
N.D. Cent. Code § 10-04-2110-04-21. Restitution assistance fund - Continuing appropriation