Securities Statutes/Rules/Policies


Statutes

Louisiana Securities Law

Disclaimer:
The links contained in the webpage above point directly to the official versions of the Louisiana Revised Statutes maintained at the State of Louisiana Legislature's website.
Consultations with a competent legal counsel regarding the statues as listed on the State of Louisiana Legislature's website should be done when making legal determinations affecting a person's rights or obligations.


Rules

Louisiana Administrative Code, Title 10  Compilation of rules promulgated by OFI

Investment Adviser Registration Procedure  Amendment Effective September 1, 2016

Dishonest or Unethical Practices Rule  Effective December 20, 2012

Supervision of Salesmen and Investment Adviser Representatives (LAC 10:XIII.1901)  Effective July 20, 2011

Broker-Dealer and Investment Adviser Recordkeeping Requirements (LAC 10:XIII.Chapter 17)  Effective October 19, 2011

Compensatory Benefit Plan  Exemption (LAC 10:XIII.801)   Effective October 20, 2008

Third-Party Solicitor Exemption (LAC 10:XIII.1301 and 1311)   Effective October 20, 2008

Private Offerings Exemptions


Policies

Policy No. S-01-2010, Examinations of Broker-Dealers and Investment Advisers

Policy No. S-01-2006, Filing Depositories  Amended January 27, 2011

Policy No. S-02-2005, Consent to Service of Process

Policy No. S-03-2005, Dual Registration

Canadian Broker-Dealers


Updated July 25, 2018