Rulemaking; immunity for acts in conformity with rules.
Registration of securities.
Viatical settlement investments.
Cuba, prospectus disclosure of doing business with, required.
Revocation or denial of registration of securities.
Registration of dealers, associated persons, intermediaries, and investment advisers.
Notice filing requirements for federal covered advisers.
Notice-filing requirements for branch offices.
Registration of associated persons specific as to securities dealer, investment adviser, or federal covered adviser identified at time of registration approval.
Books and records requirements; examinations.
Requirements, rules of conduct, and prohibited business practices for investment advisors and their associated persons.
Rules of conduct and prohibited business practices for dealers and their associated persons.
Revocation, denial, or suspension of registration of dealer, investment adviser, intermediary, or associated person.
Injunction to restrain violations; civil penalties; enforcement by Attorney General.
Investigations; examinations; subpoenas; hearings; witnesses.
Confidentiality of information relating to investigations and examinations.
Public records exemption; examination techniques or procedures.
Remedies available in cases of unlawful sale.
Commodities; prohibited practices.
Fraudulent transactions; falsification or concealment of facts.
Criminal penalties; alternative fine; Anti-Fraud Trust Fund; time limitation for criminal prosecution.
False representations; deceptive words; enforcement.
Securities, investments, boiler rooms; prohibited practices; remedies.
Destroying certain records; reproduction.
Exemption from excise tax, certain obligations to pay.