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CHAPTER 47-31B

UNIFORM SECURITIES ACT OF 2002

ARTICLE 1. GENERAL PROVISIONS.

47-31B-101      Short title.
47-31B-102      Definitions.
47-31B-103      References to federal statutes.
47-31B-104      References to federal agencies.
47-31B-105      Electronic records and signatures.

ARTICLE 2. EXEMPTIONS FROM REGISTRATION OF SECURITIES.

47-31B-201      Exempt securities.
47-31B-202      Exempt transactions.
47-31B-203      Additional exemptions and waivers.
47-31B-204      Denial, suspension, revocation, condition, or limitation of exemptions.
ARTICLE 3. REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES.

47-31B-301      Securities registration requirement.
47-31B-302      Notice filing.
47-31B-303      Securities registration by coordination.
47-31B-304      Securities registration by qualification.
47-31B-305      Securities registration filings.
47-31B-306      Denial, suspension, and revocation of securities registration.
47-31B-307      Waiver and modification.
ARTICLE 4. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS.

47-31B-401      Broker-dealer registration requirement and exemptions.
47-31B-402      Agent registration requirement and exemptions.
47-31B-403      Investment adviser registration and exemptions.
47-31B-404      Investment adviser representative registration requirement and exemptions.
47-31B-405      Federal covered investment adviser notice filing requirement.
47-31B-406      Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
47-31B-407      Succession and change in registration of broker-dealer or investment advisor.
47-31B-408      Termination of employment or association of agent and investment adviser representative--Transfer of employment or association.
47-31B-409      Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
47-31B-410      Filing fees.
47-31B-411      Postregistration requirements.
47-31B-412      Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
ARTICLE 5. FRAUD AND LIABILITIES.

47-31B-501      General fraud.
47-31B-502      Prohibited conduct in providing investment advice.
47-31B-503      Evidentiary burden.
47-31B-504      Filing of sales and advertising literature.
47-31B-505      Misleading filings.
47-31B-506      Misrepresentations concerning registration or exemption.
47-31B-507      Qualified immunity.
47-31B-508      Criminal penalties.
47-31B-509      Civil liability.
47-31B-510      Rescission offers.
ARTICLE 6. ADMINISTRATION AND JUDICIAL REVIEW.

47-31B-601      Administration.
47-31B-602      Investigations and subpoenas.
47-31B-603      Civil enforcement.
47-31B-604      Administrative enforcement.
47-31B-605      Rules, forms, orders, interpretive opinions, and hearings.
47-31B-606      Administrative files and opinions.
47-31B-607      Public records--Confidentiality.
47-31B-608      Uniformity and cooperation with other agencies.
47-31B-609      Judicial review.
47-31B-610      Jurisdiction.
47-31B-611      Service of process.
47-31B-612      Severability clause.
ARTICLE 7. TRANSITION.

47-31B-701, 47-31B-702.      Reserved.
47-31B-703      Application of chapter to existing proceeding and existing rights and duties.


Back to Title 47