NM Securities Rules

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12.11.1 General Provisions
12.11.2 Broker-Dealers and Agents
12.11.3 Broker-Dealer and Agent Records
12.11.4 Broker-Dealer and Agents Rules of Conduct and Prohibited Business Practices
12.11.5 Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers
12.11.6 Investment Advisers and Investment Adviser Representatives Records
12.11.7 Investment Advisers and Investment Adviser Representatives Rules of Conduct and Prohibited Practices
12.11.8 Registration of Securities – General Provisions
12.11.9 Standards Applicable to Registered Offerings
12.11.10 Small Company Offering Registration (SCOR)
12.11.11 Exempt Securities
12.11.12 Exempt Transactions
12.11.13 Uniform Limited Offering Exemption
12.11.14 Notice Filings for Offerings of Covered Securities
12.11.15 Fraudulent Practices
12.11.16 Forms
12.11.17 Use of Senior-Specific Certifications and Professional Designations