Pennsylvania Code & Bulletin
COMMONWEALTH OF PENNSYLVANIA

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The Pennsylvania Code website reflects the Pennsylvania Code changes effective through 51 Pa.B. 6384 (October 2, 2021).

Pennsylvania Code



PART VII. SECURITIES


Subpart Chap.

A.    DEFINITIONS … 101
B.    REGISTRATION OF SECURITIES … 201
C.    REGISTRATION OF BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES AND NOTICE FILINGS BY FEDERALLYCOVERED ADVISORS… 301
D.    FRAUDULENT AND PROHIBITED PRACTICES … 401
E.    ENFORCEMENT … 501
F.    ADMINISTRATION … 601
G.    GENERAL PROVISIONS … 701
H.    [Reserved] … 901
I.    TAKEOVER OFFERORS … 1001

Authority

   The provisions of this Part VII issued under section 609 of the Pennsylvania Securities Act of 1972 (70 P. S. §  1-609); transferred and renumbered from 64 Pa. Code Part I, December 14, 2012, effective December 15, 2012, 42 Pa.B. 7533, unless otherwise noted. Immediately preceding text appears at serial pages (268770) to (268771).



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