US Lawyer Database

For Lawyer-Seekers

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  • Part 1 - Short Title, Purpose, and Scope
  • Part 2 - Definitions and References to Federal Statutes and Rules
  • Part 3 - Registration of Securities and Exemptions
  • Part 4 - Licensing and Regulation of Broker-Dealers and Sales Representatives
  • Part 5 - Fraud and Other Prohibited Conduct
  • Part 6 - Enforcement and Civil Liability
  • Part 7 - Administration and Fees
  • Part 8 - Effective Date - Repeal of Article
  • Part 9 - Local Government Investment Pool Trust Fund Administration and Enforcement Act
  • Part 10 - Protect Vulnerable Adults From Financial Exploitation Act