Chapter

Supervision of Issue and Sale of Securities

N.D. Cent. Code § 10-04-01— Title
N.D. Cent. Code § 10-04-02— Definitions
N.D. Cent. Code § 10-04-03— Administration of chapter
N.D. Cent. Code § 10-04-04— Registration of securities
N.D. Cent. Code § 10-04-04.1— Agent or investment adviser representative records - Exempt record
N.D. Cent. Code § 10-04-05— Exempt securities
N.D. Cent. Code § 10-04-06— Exempt transactions
N.D. Cent. Code § 10-04-06.1— Suspension and revocation of exemptions
N.D. Cent. Code § 10-04-06.2— Legacy fund investments - Notice filing
N.D. Cent. Code § 10-04-07— Registration by description
N.D. Cent. Code § 10-04-07.1— Registration by announcement - Secondary
N.D. Cent. Code § 10-04-07.2— Registration by coordination
N.D. Cent. Code § 10-04-08— Registration by qualification
N.D. Cent. Code § 10-04-08.1— Authority of commissioner
N.D. Cent. Code § 10-04-08.2— Advertising matter - Regulations
N.D. Cent. Code § 10-04-08.3— Unlawful representations concerning registration or exemption
N.D. Cent. Code § 10-04-08.4— Federal covered security
N.D. Cent. Code § 10-04-08.5— Financial exploitation - Vulnerable adult
N.D. Cent. Code § 10-04-09— Suspension or revocation of registration of securities
N.D. Cent. Code § 10-04-10— Registration of broker-dealers, agents, investment advisers, and investment adviser representatives - Notice filings by federal covered advisers
N.D. Cent. Code § 10-04-10.1— Advisory activities
N.D. Cent. Code § 10-04-10.2— Conviction not bar to registration - Exceptions
N.D. Cent. Code § 10-04-10.3— Postregistration provisions
N.D. Cent. Code § 10-04-11— Suspension or revocation of broker-dealer's, agent's, investment adviser's, and investment adviser representative's registration
N.D. Cent. Code § 10-04-12— Hearings
N.D. Cent. Code § 10-04-12.1— Board of review
N.D. Cent. Code § 10-04-13— Appeals
N.D. Cent. Code § 10-04-14— Service of process
N.D. Cent. Code § 10-04-15— Fraudulent practices
N.D. Cent. Code § 10-04-16— Orders, injunctions, and prosecutions for violations - Civil penalty
N.D. Cent. Code § 10-04-16.1— Investigations and subpoenas
N.D. Cent. Code § 10-04-17— Remedies
N.D. Cent. Code § 10-04-18— Penalties
N.D. Cent. Code § 10-04-19— Evidentiary matters
N.D. Cent. Code § 10-04-20— Repeal of certain prior laws, saving of certain rights and liabilities thereunder
N.D. Cent. Code § 10-04-21— Restitution assistance fund - Continuing appropriation