New Jersey Administrative Code
Title 13 - LAW AND PUBLIC SAFETY
Chapter 47A - BUREAU OF SECURITIES
Subchapter 13 - GENERAL RULES OF PRACTICE
Section 13:47A-13.1 - Scope of Rules of Practice

Universal Citation: NJ Admin Code 13:47A-13.1
Current through Register Vol. 56, No. 18, September 16, 2024

These Rules of Practice are generally applicable to administrative proceedings before the Bureau under the Uniform Securities Law (1997), 49:3-47 et seq., as amended, prior to a matter having been determined to be a contested case pursuant to 1:1-3.1, and transmitted by the Bureau to the Office of Administrative Law pursuant to 1:1-3.2. In connection with such contested cases, reference should be made to any procedural requirements that may be contained in the Administrative Procedure Act, 52:14B-1 et seq., or the regulations and forms adopted thereunder, which requirements are controlling. These Rules of Practice do not apply to routine filings to perfect exemptions, register broker-dealers, agents, and investment advisers, register securities, or seek no-action or interpretive opinions from the Bureau. Nor do these Rules of Practice apply to private investigations conducted by the Bureau pursuant to 49:3-68, except where specifically made applicable by N.J.A.C. 13:47A-14, Rules of Practice Relating to Investigations.

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