CHAPTER 485A - UNIFORM SECURITIES ACT
- §485A-101 - Short title.
- §485A-102 - Definitions.
- §485A-103 - References to federal statutes.
- §485A-104 - References to federal agencies.
- §485A-105 - Electronic records and signatures.
- §485A-201 - Exempt securities.
- §485A-202 - Exempt transactions.
- §485A-203 - Additional exemptions and waivers.
- §485A-204 - Denial, suspension, revocation, condition, or limitation of exemptions.
- §485A-301 - Securities registration requirement.
- §485A-302 - Notice filing.
- §485A-303 - Securities registration by qualification.
- §485A-304 - Securities registration filings.
- §485A-305 - Denial, suspension, and revocation of securities registration.
- §485A-306 - Waiver and modification.
- §485A-401 - Broker-dealer registration requirement and exemptions.
- §485A-402 - Agent registration requirement and exemptions.
- §485A-403 - Investment adviser registration requirement and exemptions.
- §485A-404 - Investment adviser representative registration requirement and exemptions.
- §485A-405 - Federal covered investment adviser notice filing requirement.
- §485A-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
- §485A-407 - Succession and change in registration of broker-dealer or investment adviser.
- §485A-408 - Termination of employment or association of agent and investment adviser representative; transfer of employment or association.
- §485A-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
- §485A-410 - Filing fees.
- §485A-411 - Postregistration requirements.
- §485A-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
- §485A-501 - General fraud.
- §485A-502 - Prohibited conduct in providing investment advice.
- §485A-503 - Evidentiary burden.
- §485A-504 - Filing of sales and advertising literature.
- §485A-505 - Misleading filings.
- §485A-506 - Misrepresentations concerning registration or exemption.
- §485A-507 - Qualified immunity.
- §485A-508 - Criminal penalties.
- §485A-509 - Civil liability.
- §485A-510 - Rescission offers.
- §485A-601 - Commissioner of securities.
- §485A-602 - Investigations and subpoenas.
- §485A-603 - Civil enforcement.
- §485A-603.5 - Additional civil penalties for securities violations committed against elders.
- §485A-604 - Administrative enforcement.
- §28-94 , 412 - 3-114.
- §485A-605 - Venue.
- §485A-606 - Rules, forms, orders, interpretative opinions, and hearings.
- §485A-607 - Administrative files and opinions.
- §485A-608 - Public records; confidentiality.
- §485A-609 - Appeals to court, first circuit; time; bonds; costs; decree; further appeal.
- §485A-610 - Service of process.
- §485A-701 - Application of act to existing proceeding and existing rights and duties.