100 General Statement and Statutory Authority

101 Regulatory Functions

102 General Organization

103 Administrative Hearing Officers

Part B Practice and Procedure in Administrative Hearings

General Rules

200 Construction of Rules of Practice and Procedure

201 Appearance and Practice in Administrative Proceedings

202 Business Hours

203 Delegated Authority of Administrative Hearing Officer

204 Disqualification and Recusal of Administrative Hearing Officer

205 Ex Parte Communications

206 Orders and Decisions of Administrative Hearing Officer

Service and Filing of Papers

210 Service of Papers by Parties

211 Filing of Papers with the Commissioner: Procedure

212 Filing of Papers: Form

213 Filing of Papers: Signature Requirement and Effect

214 Computation of Time

Pleadings and Prehearing Practice

220 Complaints: General

221 Complaints: Form and Content

222 Complaints: Amendment and Withdrawal

223 Order Delegating Authority to Hearing Officer

224 Answers to Complaints

225 Request for Hearing

226 Prehearing Conferences

227 Prehearing Submissions

228 Disclosure of Evidence by the Parties

229 Production of Witness Statements

230 Motions

231 Motions for Summary Disposition on the Pleadings

232 Default; Motion to Set Aside Default

Administrative Hearings

240 Hearings

241 Hearings Open to the Public

242 Continuance of Hearing

243 Procedure

244 Testimony

245 Evidence: Admissibility

246 Evidence: Objections and Offers of Proof

247 Evidence: Reference to Delaware Uniform Rules of Evidence

248 Proposed Findings of Fact, Conclusions of Law and Post-Hearing Briefs

249 Record of Hearings

250 Supplementation of Record

251 Decision of Administrative Hearing Officer

252 Failure to Appear at Hearing: Default

253 Contemptuous Conduct

Practice and Procedure Regarding Summary Orders Issued Pursuant to Sections 7308(c), 7309(c), 7316(c) and Section 7325(c) of the Act

260 Basis for Issuance of Summary Order Postponing or Suspending the Effectiveness of a Registration Statement Pursuant to Section 7308(c)

261 Basis for Issuance of Summary Order Denying or Revoking Exemption Pursuant to Section 7309(c)

262 Basis for Issuance of Summary Order Postponing or Suspending the Registration of a Broker-Dealer, Broker-Dealer Agent, Investment Adviser or Investment Adviser Representative Pursuant To Section 7316(c)

263 Basis for Issuance of Summary Cease and Desist Order Pursuant to Section 7325(c)

264 Application for Issuance of Summary Order

265 Procedure After Issuance of Order

266 Violation of Cease and Desist Order

Appeal to the Court of Chancery

270 Right to Judicial Review

271 Procedure

272 Application to the Court for Leave to Adduce Additional Material Evidence

Part C Investigations

300 Scope of Rules Regarding Investigations

301 Nature and Purpose of Investigations

302 Information Obtained in Investigations

303 Rights of Witnesses

304 Subpoenas

305 Testimony Under Oath

306 Production of Things and Documents

307 Written Submissions by Interested Persons

Part D Securities Registration and Notice Filings

400 Registration by Coordination

401 Registration by Qualification

402 Small Company Offering Registration

403 Notice Filings for Offerings of Investment Company Securities

404 Fees

405 Filing of Sales Literature

406 Notice Filings for SEC Regulation D Offerings

Part E Exemptions from Registration

500 Registration Not Required of Federal Covered Securities

501 Designated Exchange Exemption

502 Limited Offering Exemption

503 Accredited Investor Exemption

504 World Class Issuer Exemption

505 Offers of Securities through the Internet

506 Claim of Exemption by Persons Organized Not for Private Profit but Exclusively for Religious Purposes

507 Claim of Exemption for Nine-Month Commercial Paper

508 Recognized Securities Manuals

509 Unsolicited Sales

510 Transactional Exemption for Certain Institutional Buyers

511 Confirmation of Availability of Exemption

Part F Broker-Dealers, Broker-Dealer Agents and Issuer Agents

600 Registration of Broker-Dealers

601 Registration of Broker-Dealer Agents

602 Registration of Issuer Agents

603 Continuing Obligation of Registrants to Keep Information Current

604 Minimum Financial Requirements and Financial Reporting Requirements of Broker-Dealers

605 Bonding Requirements of Intrastate Broker-Dealers

606 Recordkeeping Requirements of Broker-Dealers

607 Use of the Internet for General Dissemination of Information on Products and Services

608 Registration Exemption for Certain Canadian Broker-Dealers

609 Dishonest or Unethical Practices

Part G Investment Advisors and Investment Advisor Representatives

700 Registration of Investment Advisers

701 Registration of Investment Adviser Representatives

702 Notice Filing Requirements for Federal Covered Advisers

703 Continuing Obligation of Registrants to Keep Information Current

704 Minimum Financial Requirements for Investment Advisers

705 Bonding Requirements of Certain Investment Advisers

706 Recordkeeping Requirements of Investment Advisers

707 Use of the Internet for General Dissemination of Information on Products and Services

708 Custody of Client Funds or Securities

709 Dishonest or Unethical Practices

710 Examination Requirements

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