Securities


Statutes

Louisiana Securities Law

Disclaimer
Please note that the official version of the Louisiana Revised Statutes is maintained by the State of Louisiana Legislature's website at www.legis.state.la.us. The excerpted version of these statutes contained on this website are unofficial and should not be relied on when making legal determinations affecting a person's right or obligations without first consulting with competent legal counsel.


Rules

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

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

Investment Adviser Registration Procedure

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