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.
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.
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