Subchapter 7 - MISCELLANEOUS
- Section 13:47A-7.1 - Consent to service of process
- Section 13:47A-7.2 - Custody of clients' funds or securities
- Section 13:47A-7.3 - Broker-dealer
- Section 13:47A-7.4 - Prospectus defined
- Section 13:47A-7.5 - Effective date of applications
- Section 13:47A-7.6 - Effectiveness of registrations filed with the CRD or IARD
- Section 13:47A-7.7 - New registrations
- Section 13:47A-7.8 - Filing of information with the CRD or IARD
- Section 13:47A-7.9 - Notice filings for securities issued or offered by Federally registered investment companies and unit investment trusts
- Section 13:47A-7.10 - Private placement filings