South Carolina Chapter 113 — Secretary of State
Chapter 113 Secretary Of State
Article 1 Securities Division
- South Carolina Code § 113-1. — Agents Registered with Only One Broker-Dealer or Issuer at One Time.
- South Carolina Code § 113-2. — Sales Permits and Examinations for Principals, Partners, Officers and Directors of Broker-Dealer and Issuers.
- South Carolina Code § 113-3. — Examinations for Securities Agents.
- South Carolina Code § 113-4. — Provisions Applicable in General to Securities Examinations.
- South Carolina Code § 113-5. — Examinations for Investment Advisers.
- South Carolina Code § 113-6. — Deposits in Lieu of Bond.
- South Carolina Code § 113-7. — Records to Be Kept and Financial Statements to Be Filed by Broker-Dealers.
- South Carolina Code § 113-8. — Securities Issued After Release of Impounded Funds.
- South Carolina Code § 113-9. — Release of Portion of Commission Where Proceeds Impounded.
- South Carolina Code § 113-10. — Financial Statements Used in a Prospectus.
- South Carolina Code § 113-11. — Options or Warrants.
- South Carolina Code § 113-12. — Underwriting Expenses and Commissions.
- South Carolina Code § 113-13. — Pre-Incorporation Stock Subscriptions.
- South Carolina Code § 113-14. — Form and Minimum Provisions for Debt Securities.
- South Carolina Code § 113-15. — Expenses and Fees Payable by Investment Companies.
- South Carolina Code § 113-16. — Approved Securities Exchanges.
- South Carolina Code § 113-17. — Recognized Securities Manuals.
- South Carolina Code § 113-18. — Securities of Nonprofit Organizations.
- South Carolina Code § 113-19. — Examination Fees to Accompany Filing of Prospectus or Offering Circular.
- South Carolina Code § 113-20. — Fees to Accompany a Request for Confirmation of the Availability of An Exemption or Exception.
- South Carolina Code § 113-21. — Exemption Pursuant to Regulation D and Section 35-1-320(9).
- South Carolina Code § 113-22. — Limited Offering Exemption to Ten or Less Persons.
- South Carolina Code § 113-23. — Dishonest or Unethical Practices by Investment Advisers and Investment Adviser Representatives.
- South Carolina Code § 113-24. — Custody of Client Funds or Securities by Investment Advisers.
- South Carolina Code § 113-25. — Dishonest or Unethical Practices by Broker-Dealers and Agents.
- South Carolina Code § 113-26. — Financial Reporting Requirements for Certain Investment Advisers.