Transferred from section 36-500, July 3, 1995

Section 36b-31-1 - Reserved
Section 36b-31-2 - Authority
Section 36b-31-3 - Definitions
Section 36b-31-4 - Reserved
Section 36b-31-5a - Advertisements by investment advisers
Section 36b-31-5b - Custody or possession of client funds or securities
Section 36b-31-5c - Disclosures to advisory clients
Section 36b-31-5d - Statement of advisory fee
Section 36b-31-5e - Assignment
Section 36b-31-6a - Broker-dealer and agent registration
Section 36b-31-6b - Investment adviser and investment adviser agent registration
Section 36b-31-6c - Central registration depository
Section 36b-31-6d - Temporary transfer procedures
Section 36b-31-6e - Private securities transactions by broker-dealer agents
Section 36b-31-6f - Supervision requirements
Section 36b-31-6g - Multiple registration
Section 36b-31-7a - Broker-dealer applicant experience requirements
Section 36b-31-7b - Investment adviser experience requirements
Section 36b-31-7c - Registration of real property securities dealers
Section 36b-31-7d - Successor registration
Section 36b-31-7e - Requirements for use of trade names by registrants
Section 36b-31-8 - Reserved
Section 36b-31-9a - Statement of financial condition
Section 36b-31-9b - Net capital requirements for broker-dealers
Section 36b-31-9c - Minimum capital requirements for investment advisers
Section 36b-31-10 to 36b-31-13 - Reserved
Section 36b-31-14a - Record keeping requirements for registered broker-dealers
Section 36b-31-14b - Record keeping requirements for registered investment advisers
Section 36b-31-14c - Filing of financial reports by broker-dealers
Section 36b-31-14d - Filing of financial reports by investment advisers
Section 36b-31-14e - Duty to amend information previously filed
Section 36b-31-14f - Examinations by commissioner
Section 36b-31-15a - Dishonest or unethical business practices by broker-dealers
Section 36b-31-15b - Dishonest or unethical business practices by agents
Section 36b-31-15c - Dishonest or unethical business practices by investment advisers
Section 36b-31-15d - Dishonest or unethical business practices by investment adviser agents
Section 36b-31-15e - Examination requirements for securities personnel
Section 36b-31-15f - Summary orders
Section 36b-31-16 - Reserved
Section 36b-31-17a - Registration of securities by coordination
Section 36b-31-17b - Shelf registration
Section 36b-31-17c - Registration by coordination of unit investment trust securities
Section 36b-31-18 - Registration of securities by qualification
Section 36b-31-18a - Small corporate offering registration (SCOR)
Section 36b-31-19a - Provisions applicable to registration generally
Section 36b-31-19b - Registration of investment company shares
Section 36b-31-19c - Post-sale registration
Section 36b-31-19d - Registration of offerings eligible to utilize the securities and exchange commission multijurisdictional disclosure system
Section 36b-31-20 - Reserved
Section 36b-31-21a-1 to 36b-31-21a-8 - Reserved
Section 36b-31-21a-9 - Exemption for securities issued by nonprofit organizations
Section 36b-31-21a-10 to 36b-31-21a-21 - Reserved
Section 36b-31-21b-1 - Exemption for isolated non-issuer transactions
Section 36b-31-21b-2 - Manual exemption
Section 36b-31-21b-3 - Exemption for non-issuer transaction through a registered broker-dealer
Section 36b-31-21b-4 to 36b-31-21b-8 - Reserved
Section 36b-31-21b-9a - Exemption for transactions pursuant to Section 4 (2) of the Securities Act of 1933
Section 36b-31-21b-9b - Exemption for transactions pursuant to rules 504, 505 and 506 of regulation D
Section 36b-31-21b-10 - Reserved
Section 36b-31-21b-11 - Exemption for transactions pursuant to an offer to existing security holders of the issuer
Section 36b-31-21b-12 - Reserved
Section 36b-31-21b-13a - Exemption for transactions pursuant to Sections 4 (1) or 4 (4) of the securities act of 1933
Section 36b-31-21b-13b - Exemption for transactions pursuant to section 4 (6) of the securities act of 1933
Section 36b-31-21b-14 - Exemption for transactions not involving more than 10 purchasers
Section 36b-31-21b-15 - Reserved
Section 36b-31-21c - Summary denial or revocation of exemption
Section 36b-31-22 - Filing of sales literature with the commissioner
Section 36b-31-23 to 36b-31-30 - Reserved
Section 36b-31-31a - Forms
Section 36b-31-31b - Filing of documents; filing fees
Section 36b-31-31c - Exemptions from sections 36b-31-2 to 36b-31-33, inclusive, of the regulations
Section 36b-31-31d - Incorporation of federal statutes, rules and opinions
Section 36b-31-31e - Advisory interpretations
Section 36b-31-31f - Hearings
Section 36b-31-32 to 36b-31-33 - Reserved