47-31B UNIFORM SECURITIES ACT OF 2002
UNIFORM SECURITIES ACT OF 2002
ARTICLE 1. GENERAL PROVISIONS.
References to federal statutes.
References to federal agencies.
Electronic records and signatures.
ARTICLE 2. EXEMPTIONS FROM REGISTRATION OF SECURITIES.
Additional exemptions and waivers.
Denial, suspension, revocation, condition, or limitation of exemptions.
ARTICLE 3. REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL
ARTICLE 4. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT
ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS.
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Broker-dealer registration requirement and exemptions.
Agent registration requirement and exemptions.
Investment adviser registration and exemptions.
Investment adviser representative registration requirement and exemptions.
Federal covered investment adviser notice filing requirement.
Registration by broker-dealer, agent, investment adviser, and investment
Succession and change in registration of broker-dealer or investment advisor.
Termination of employment or association of agent and investment adviser
representative--Transfer of employment or association.
Withdrawal of registration of broker-dealer, agent, investment adviser, and
investment adviser representative.
Denial, revocation, suspension, withdrawal, restriction, condition, or limitation
ARTICLE 5. FRAUD AND LIABILITIES.
Prohibited conduct in providing investment advice.
Filing of sales and advertising literature.
Misrepresentations concerning registration or exemption.
ARTICLE 6. ADMINISTRATION AND JUDICIAL REVIEW.
Investigations and subpoenas.
Rules, forms, orders, interpretive opinions, and hearings.
Administrative files and opinions.
Uniformity and cooperation with other agencies.
Service of process.
ARTICLE 7. TRANSITION.
Application of chapter to existing proceeding and existing rights and duties.
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