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.
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.