UNIFORM SECURITIES ACT OF 2002
ARTICLE 1. GENERAL PROVISIONS.
47-31B-101 Short title.
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.
ARTICLE 4. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS.
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.
Qualified immunity. 47-31B-508
Criminal penalties. 47-31B-509
Civil liability. 47-31B-510
ARTICLE 6. ADMINISTRATION AND JUDICIAL REVIEW. 47-31B-601
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
Service of process. 47-31B-612
ARTICLE 7. TRANSITION. 47-31B-701
, 47-31B-702. Reserved. 47-31B-703
Application of chapter to existing proceeding and existing rights and duties.
Get Chapter 47-31B