Section 502.101. Short title.

Section 502.102. Definitions.

Section 502.103. References to federal statutes.

Section 502.104. References to federal agencies.

Section 502.105. Electronic records and signatures.

Section 502.201. Exempt securities.

Section 502.202. Exempt transactions.

Section 502.203. Additional exemptions and waivers.

Section 502.204. Denial, suspension, revocation, condition, or limitation of exemptions.

Section 502.205.

Section 502.206.

Section 502.206A.

Section 502.207.

Section 502.207A.

Section 502.207B.

Section 502.208.

Section 502.209.

Section 502.210.

Section 502.211.

Section 502.212.

Section 502.213.

Section 502.214.

Section 502.215.

Section 502.216.

Section 502.217.

Section 502.218.

Section 502.301. Securities registration requirement.

Section 502.302. Notice filing.

Section 502.303. Securities registration by coordination.

Section 502.304. Securities registration by qualification.

Section 502.304A. Expedited registration by filing for small issuers.

Section 502.305. Securities registration filings.

Section 502.306. Denial, suspension, and revocation of securities registration.

Section 502.307. Waiver and modification.

Section 502.321A. Special definitions.

Section 502.321B. Registration requirements — hearing.

Section 502.321C. Filing of solicitation materials.

Section 502.321D. Fraudulent, deceptive, or manipulative acts and practices prohibited.

Section 502.321E. Limitations on offers and offerors.

Section 502.321F. Administration — rules and orders.

Section 502.321G. Fees.

Section 502.321H. Nonapplication of corporate takeover law.

Section 502.321I. Application of securities law.

Section 502.401. Broker-dealer registration requirement and exemptions.

Section 502.402. Agent registration requirement and exemptions.

Section 502.403. Investment adviser registration requirement and exemptions.

Section 502.404. Investment adviser representative registration requirement and exemptions.

Section 502.405. Federal covered investment adviser notice filing requirement.

Section 502.406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

Section 502.407. Succession and change in registration of broker-dealer or investment adviser.

Section 502.408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association.

Section 502.409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative — cessation of business — abandoned filings.

Section 502.410. Filing fees.

Section 502.411. Postregistration requirements.

Section 502.412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.

Section 502.501. General fraud.

Section 502.501A. Prohibited transactions of broker-dealers and agents.

Section 502.502. Prohibited conduct in providing investment advice.

Section 502.502A.

Section 502.503. Evidentiary burden.

Section 502.504. Filing of sales and advertising literature.

Section 502.505. Misleading filings.

Section 502.506. Misrepresentations concerning registration or exemption — official endorsements prohibited.

Section 502.506A. Misstatements in publicity prohibited.

Section 502.507. Qualified immunity.

Section 502.508. Criminal penalties.

Section 502.509. Civil liability.

Section 502.510. Recision offers.

Section 502.601. Administration.

Section 502.602. Investigations and subpoenas.

Section 502.603. Civil enforcement.

Section 502.603A.

Section 502.604. Administrative enforcement.

Section 502.604A. Limited law enforcement authority.

Section 502.604B.

Section 502.605. Rules, forms, orders, interpretative opinions, and hearings.

Section 502.606. Administrative files and opinions.

Section 502.607. Public records — confidentiality.

Section 502.608. Uniformity and cooperation with other agencies.

Section 502.609. Judicial review of orders.

Section 502.610. Jurisdiction.

Section 502.611. Service of process.

Section 502.612. Severability clause.

Section 502.701. Public joint investment trusts.