Article 12a UNIFORM SECURITIES ACT
- 17-12a101. Short title.
- 17-12a102. Definitions.
- 17-12a103. References to federal statutes.
- 17-12a104. References to federal agencies.
- 17-12a105. Electronic records and signatures.
- 17-12a201. Exempt securities.
- 17-12a202. Exempt transactions.
- 17-12a203. Additional exemptions and waivers.
- 17-12a204. Denial, suspension, revocation, condition or limitation of exemptions.
- 17-12a205. Exemption filing fees.
- 17-12a301. Securities registration requirement.
- 17-12a302. Notice filing.
- 17-12a303. Securities registration by coordination.
- 17-12a304. Securities registration by qualification.
- 17-12a305. Securities registration filings.
- 17-12a306. Denial, suspension and revocation of securities registration.
- 17-12a307. Waiver and modification.
- 17-12a401. Broker-dealer registration requirement and exemptions.
- 17-12a402. Agent registration requirement and exemptions.
- 17-12a403. Investment adviser registration requirement and exemptions.
- 17-12a404. Investment adviser representative registration requirement and exemptions.
- 17-12a405. Federal covered investment adviser notice filing requirement.
- 17-12a406. Registration by broker-dealer, agent, investment adviser and investment adviser representative.
- 17-12a407. Succession and change in registration of broker-dealer or investment adviser.
- 17-12a408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
- 17-12a409. Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative.
- 17-12a410. Filing fees.
- 17-12a411. Postregistration requirements.
- 17-12a412. Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration.
- 17-12a501. General fraud.
- 17-12a502. Prohibited conduct in providing investment advice.
- 17-12a503. Evidentiary burden.
- 17-12a504. Filing of sales and advertising literature.
- 17-12a505. Misleading filings; coercion; obstruction.
- 17-12a506. Misrepresentations concerning registration or exemption.
- 17-12a507. Qualified immunity.
- 17-12a508. Criminal penalties; statute of limitations.
- 17-12a509. Civil liability.
- 17-12a510. Recission offers.
- 17-12a601. Administration; investor education fund.
- 17-12a602. Investigations and subpoenas.
- 17-12a603. Civil enforcement.
- 17-12a604. Administrative enforcement.
- 17-12a605. Rules, forms, orders, interpretive opinions and hearings.
- 17-12a606. Administrative files and opinions.
- 17-12a607. Public records; confidentiality.
- 17-12a608. Uniformity and cooperation with other agencies.
- 17-12a609. Judicial review.
- 17-12a610. Jurisdiction.
- 17-12a611. Service of process.
- 17-12a612. Severability clause.
- 17-12a701, 17-12a702. Reserved.
- 17-12a703. Repeals; application of act to existing proceeding and existing rights and duties.