South Carolina Code of Regulations
Chapter 13 Attorney General
Article 1 Miscellaneous
13-1. Inspection of Records of Charitable Trusts and Public Foundations.
13-2. Limitations on Inspections.
13-3. Notes, Photo-copies, etc.
13-4. Records Concerning Charitable Purposes Only May Be Inspected.
13-11. Declaratory Rulings.
13-12. Promulgation, Amendment, Repeal of Rules.
13-13. Contests of Authority to Issue Regulations.
13-30. Repeal of Prior Regulations.
Article 2 Securities
Subarticle 2 Exemptions From Securities
13-201. Approved Securities Exchanges.
13-202. Securities of Nonprofit Organizations.
13-203. Recognized Securities Manuals.
13-204. Regulation D Offerings.
13-205. Accredited Investor Exemption.
Subarticle 3 Registration Of Securities And Notice Filing Of Federal Covered Securities
13-301. Notice Filing Requirements for Federal Covered Securities.
13-302. Prospectus Content and Filing Requirements for Securities Registered by Qualification.
13-303. Impoundment of Proceeds or Stock.
13-304. Underwriting Expenses, Underwriter Warrants, Selling Expenses, and Selling Security Holders.
13-305. Options And Warrants.
13-306. Form and Minimum Provisions for Debt Securities.
13-307. Promoters' Equity.
13-308. Required Filings For Federal Covered Securities Under Section 18(b)(4)(D) of the Securities Act of 1933.
Subarticle 4 Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
13-401. Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives.
13-402. Exemptions for Certain Canadian Broker-Dealers.
13-403. Use of the NASD CRD and IARD to Receive Certain Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Other Forms and Fees.
13-404. Criminal Record Requirement for Broker-Dealer Agents and Investment Adviser Representatives.
13-405. Broker-Dealer Recordkeeping, Minimum Financial Reporting and Bonding Requirements.
13-406. Investment Adviser Minimum Capital and Bonding Requirements.
13-407. Cash or Security Deposits in Lieu of Surety Bond.
13-408. Recordkeeping Requirements for Investment Advisers.
Subarticle 5 Fraud And Liabilities
13-501. Dishonest or Unethical Practices by Broker-Dealers and Agents.
13-502. Dishonest or Unethical Practices by Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers.
13-503. Advertising Filing Requirement.
Subarticle 6 Administration And Judicial Review
13-601. Financial Statements Submitted with an Application to Register Securities or Used in a Prospectus.
13-602. Prospectus, Offering Circular, Exemption and Exception Filing Fees.
13-603. Consents to Service of Process.