South Carolina · Regulations
Chapter 13 — ATTORNEY GENERAL
57 sections
57 sections
- S.C. Code Regs. 13-11S.C. Code Regs. 13-11. Declaratory Rulings
- S.C. Code Regs. 13-12S.C. Code Regs. 13-12. Promulgation, Amendment, Repeal of Rules
- S.C. Code Regs. 13-13S.C. Code Regs. 13-13. Contests of Authority to Issue Regulations
- S.C. Code Regs. 13-30S.C. Code Regs. 13-30. Repeal of Prior Regulations
- S.C. Code Regs. 13-201S.C. Code Regs. 13-201. Approved Securities Exchanges
- S.C. Code Regs. 13-202S.C. Code Regs. 13-202. Securities of Nonprofit Organizations
- S.C. Code Regs. 13-203S.C. Code Regs. 13-203. Recognized Securities Manuals
- S.C. Code Regs. 13-204S.C. Code Regs. 13-204. Regulation D Offerings
- S.C. Code Regs. 13-205S.C. Code Regs. 13-205. Accredited Investor Exemption
- S.C. Code Regs. 13-206S.C. Code Regs. 13-206. Intrastate Offering Exemption
- S.C. Code Regs. 13-207S.C. Code Regs. 13-207. Fairness Hearings under Section 35-1-202(9)
- S.C. Code Regs. 13-301S.C. Code Regs. 13-301. Notice Filing Requirements for Federal Covered Securities
- S.C. Code Regs. 13-302S.C. Code Regs. 13-302. Prospectus Content and Filing Requirements for Securities Registered by Qualification
- S.C. Code Regs. 13-303S.C. Code Regs. 13-303. Impoundment of Proceeds or Stock
- S.C. Code Regs. 13-304S.C. Code Regs. 13-304. Underwriting Expenses, Underwriter Warrants, Selling Expenses, and Selling Security Holders
- S.C. Code Regs. 13-305S.C. Code Regs. 13-305. Options and Warrants
- S.C. Code Regs. 13-306S.C. Code Regs. 13-306. Form and Minimum Provisions for Debt Securities
- S.C. Code Regs. 13-307S.C. Code Regs. 13-307. Promoters’ Equity
- S.C. Code Regs. 13-308S.C. Code Regs. 13-308. Required Filings for Federal Covered Securities Under Regulation D Rule 506 of the Securities Act of 1933
- S.C. Code Regs. 13-309S.C. Code Regs. 13-309. Offerings Made Under Tier 2 of Federal Regulation A
- S.C. Code Regs. 13-401S.C. Code Regs. 13-401. Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives
- S.C. Code Regs. 13-402S.C. Code Regs. 13-402. Exemptions for Certain Canadian Broker-Dealers
- S.C. Code Regs. 13-403S.C. Code Regs. 13-403. Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Brochure Delivery
- S.C. Code Regs. 13-404S.C. Code Regs. 13-404. Criminal Record Requirement for Agents and Investment Adviser Representatives
- S.C. Code Regs. 13-405S.C. Code Regs. 13-405. Broker-Dealer Recordkeeping, Minimum Financial Reporting and Bonding Requirements
- S.C. Code Regs. 13-406S.C. Code Regs. 13-406. Investment Adviser Minimum Capital and Bonding Requirements
- S.C. Code Regs. 13-407S.C. Code Regs. 13-407. Cash or Security Deposits in Lieu of Surety Bond
- S.C. Code Regs. 13-408S.C. Code Regs. 13-408. Recordkeeping Requirements for Investment Advisers
- S.C. Code Regs. 13-409S.C. Code Regs. 13-409. Sole Proprietor Investment Advisers
- S.C. Code Regs. 13-410S.C. Code Regs. 13-410. Investment Adviser Representatives Registered with Multiple Investment Advisers
- S.C. Code Regs. 13-411S.C. Code Regs. 13-411. The Use of Senior-Specific Certifications and Professional Designations
- S.C. Code Regs. 13-412S.C. Code Regs. 13-412. Fees
- S.C. Code Regs. 13-413S.C. Code Regs. 13-413. Investment Adviser Information Security and Privacy
- S.C. Code Regs. 13-414S.C. Code Regs. 13-414. Business Continuity and Succession Planning
- S.C. Code Regs. 13-415S.C. Code Regs. 13-415. Registration Exemption for Investment Advisers to Private Funds
- S.C. Code Regs. 13-416S.C. Code Regs. 13-416. Registration Exemption for Merger and Acquisition Brokers
- S.C. Code Regs. 13-501S.C. Code Regs. 13-501. Dishonest or Unethical Practices by Broker-Dealers and Agents
- S.C. Code Regs. 13-502S.C. Code Regs. 13-502. Dishonest or Unethical Practices by Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers
- S.C. Code Regs. 13-503S.C. Code Regs. 13-503. Advertising Filing Requirement
- S.C. Code Regs. 13-601S.C. Code Regs. 13-601. Financial Statements Submitted with an Application to Register Securities or used in a Prospectus
- S.C. Code Regs. 13-602S.C. Code Regs. 13-602. Prospectus, Offering Circular, Exemption and Exception Filing Fees
- S.C. Code Regs. 13-603S.C. Code Regs. 13-603. Consents to Service of Process
- S.C. Code Regs. 13-604S.C. Code Regs. 13-604. Procedures for Administrative Hearings before the Securities Commissioner
- S.C. Code Regs. 13-1101S.C. Code Regs. 13-1101. Definitions
- S.C. Code Regs. 13-1102S.C. Code Regs. 13-1102. Quarterly Certifications and Escrow Deposits
- S.C. Code Regs. 13-1103S.C. Code Regs. 13-1103. Notification of Compliance
- S.C. Code Regs. 13-1104S.C. Code Regs. 13-1104. Quarterly Periods Defined
- S.C. Code Regs. 13-1105S.C. Code Regs. 13-1105. Untimely or Incomplete Quarterly Reports or Escrow Deposits
- S.C. Code Regs. 13-1106S.C. Code Regs. 13-1106. Certification of Tobacco Product Manufacturers for Tobacco Directory
- S.C. Code Regs. 13-1107S.C. Code Regs. 13-1107. Removal of Tobacco Product Manufacturer from Tobacco Directory
- S.C. Code Regs. 13-1108S.C. Code Regs. 13-1108. Rejection of Certification Application of Tobacco Product Manufacturers
- S.C. Code Regs. 13-1109S.C. Code Regs. 13-1109. Notice of Approved Certification, Denial of Certification, and Removal from Tobacco Directory
- S.C. Code Regs. 13-1110S.C. Code Regs. 13-1110. Bond Requirement for Nonparticipating Manufacturer
- S.C. Code Regs. 13-1111S.C. Code Regs. 13-1111. Manufacturer and Importer Reports
- S.C. Code Regs. 13-2201S.C. Code Regs. 13-2201. Application for Money Transmission License
- S.C. Code Regs. 13-2301S.C. Code Regs. 13-2301. Application for Currency Exchange License
- S.C. Code Regs. 13-2801S.C. Code Regs. 13-2801. Interpretive Orders