Statutes, Rules, and Policies

Statutes

Louisiana Securities Law

The following is a list of the sections included in the Louisiana Securities Law. The text of these statutes may be accessed by clicking the link below or each statute listed below.

Enter the number 51 in the “Title” space and the applicable section number in the “Section” space.

LSA-R.S. 51:701. Short Title
LSA-R.S. 51:702. Definitions and Rules of Construction
LSA-R.S. 51:703. Registration of Dealers, Salesmen, and Investment Advisers and Investment Adviser Representatives; Surety Bonds; Records
LSA-R.S. 51:705. Suspension or revocation of registration of dealers, salesmen, investment advisers, and investment adviser representatives; requiring current financial statements
LSA-R.S. 51:705. Registration of Securities; When and How Required; Delivery of Prospectus
LSA-R.S. 51:706. General Provisions for Registration of Securities
LSA-R.S. 51:707. Denial, Suspension, or Revocation of Registration
LSA-R.S. 51:708. Exempt Securities
LSA-R.S. 51:709. Exempt Transactions
Commissioner of Securities; Powers of Commissioner and Employees; Compensation and Expenses; Assistant Commissioner
LSA-R.S. 51:710. Commissioner of Securities; Power to Assess Civil Monetary Penalties
LSA-R.S. 51:710.1. Public Records; Confidentiality
LSA-R.S. 51:711. Investigations; Subpoenas; Self-Incrimination; Conducting Hearings
LSA-R.S. 51:712. Unlawful Practices
LSA-R.S. 51:713. Stop Orders and Injunctions Against Violations; Receivers or Auditors; Criminal Prosecutions
LSA-R.S. 51:714. Civil Liability From Sales of Securities
LSA-R.S. 51:715. Venue of Civil or Criminal Actions
LSA-R.S. 51:716. Notice of Opportunity for Hearing; Conduct of Hearing; Issuance of Orders
LSA-R.S. 51:717. Appeals
LSA-R.S. 51:718. Consent to Substituted Service of Process or Pleadings; Manner of Service
LSA-R.S. 51:719. Waiver of Rights Under Chapter or Rules and Regulations Void
LSA-R.S. 51:720. Immunity of Commissioner From Suit
LSA-R.S. 51:721. Burden of Proving Exemption; Certificate of Compliance or Noncompliance as Evidence; Admissibility of Copies of Records
LSA-R.S. 51:722. Savings Provisions as to Prior Law
LSA-R.S. 51:723. Violations; Penalties; Institution of Criminal Proceedings
LSA-R.S. 51:724. Fees and Expenses

Louisiana Protection of Vulnerable Adults from Financial Exploitation Law

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