Securities & Capital Markets regulation in Louisiana

Securities issuance, funds, brokers and capital-markets regulation across jurisdictions. 13 publications, summarized in English and updated same-day.

Email alerts for Securities & Capital Markets · Louisiana

New circulars, rules and guidance — a digest in your inbox, same day.

2023-03-10

Louisiana Administrative Code Title 10: Financial Institutions, Consumer Credit, and Investment Securities

Louisiana

OFI

2016-07-26

Investment Adviser Registration Procedure

Louisiana

OFI

2014-12-24

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

Louisiana

OFI

2013-01-11

Policy No. S-03-2005, Dual Registration

Louisiana

OFI

2013-01-11

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

Louisiana

OFI

2012-12-26

Dishonest or Unethical Practices Rule

Louisiana

OFI

2011-08-01

Supervision of Salesmen and Investment Adviser Representatives

Louisiana

OFI

2011-08-01

Broker-Dealer and Investment Adviser Recordkeeping Requirements

Louisiana

OFI

2011-03-10

Statement of Policy on Exclusions for Canadian Broker-Dealers and Agents

Louisiana

OFI

2011-01-28

Policy No. S-01-2006 Designating Filing Depositories

Louisiana

OFI

2008-10-20

Compensatory Benefit Plan Exemption (LAC 10:XIII.801)

Louisiana

OFI

2008-10-20

Third-Party Solicitor Exemption (LAC 10:XIII.1301 and 1311)

Louisiana

OFI

2006-08-02

Private Offerings Exemptions

Louisiana

OFI