Securities (Uniform Act)

  1. Law
  2. Nevada Revised Statutes
  3. Securities (Uniform Act)

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Section
90.211

Definitions.

Section
90.215

"Administrator" defined.

Section
90.220

"Broker-dealer" defined.

Section
90.223

"Commission" defined.

Section
90.225

"Depository institution" defined.

Section
90.230

"Division" defined.

Section
90.235

"Filing" and "file" defined.

Section
90.240

"Financial or institutional investor" defined.

Section
90.245

"Fraud," "deceit" and "defraud" defined.

Section
90.250

"Investment adviser" defined.

Section
90.255

"Issuer" defined.

Section
90.260

"Nonissuer transaction" defined.

Section
90.265

"Person" defined.

Section
90.270

"Price amendment" defined.

Section
90.275

"Promoter" defined.

Section
90.276

"Provider of viatical settlements" defined.

Section
90.278

"Representative of an investment adviser" defined.

Section
90.280

"Sale" and "sell" defined.

Section
90.285

"Sales representative" defined.

Section
90.290

"Securities Act of 1933," "Securities Exchange Act of 1934," "Public Utility Holding Company Act of 1935," "Investment Company Act of 1940," "Investment Advisers Act of 1940," "Employees Retirement Income Security Act of 1974," "National Housing Act" and "Commodity Exchange Act" defined.

Section
90.292

"Securities exchange" defined.

Section
90.295

"Security" defined.

Section
90.300

"Self-regulatory organization" defined.

Section
90.305

"State" defined.

Section
90.307

"Transfer agent" defined.

Section
90.308

"Viatical settlement investment" defined.

Section
90.309

"Viator" defined.

Section
90.310

Licensing of broker-dealers, sales representatives and transfer agents.

Section
90.320

Exempt broker-dealers and sales representatives.

Section
90.330

Licensing of investment advisers and representatives of investment advisers.

Section
90.340

Exempt investment advisers and representatives of investment advisers.

Section
90.350

Application. [Effective until the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]

Section
90.350

Application. [Effective on the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]

Section
90.360

Licensing fees.

Section
90.370

Examinations: Requirement for licensure; administration; waiver.

Section
90.372

Eligibility of officer or director of issuer for waiver from examination for licensure as sales representative or broker-dealer.

Section
90.375

Application for issuance or renewal of license: Statement regarding obligation of child support required; grounds for denial of license; duty of Administrator. [Effective until the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]

Section
90.377

Application for renewal of license to include information relating to state business license; denial of renewal for unpaid debt assigned to State Controller for collection.

Section
90.380

Licensing: General provisions. [Effective until the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]

Section
90.380

Licensing: General provisions. [Effective on the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]

Section
90.390

Requirements after licensing.

Section
90.400

Licensing of successor firms.

Section
90.410

Power of inspection.

Section
90.415

Fee for inspection of records.

Section
90.420

Grounds for denial, suspension, revocation, fine or condition.

Section
90.425

Unethical or dishonest practices: Use of certain certifications and professional designations.

Section
90.430

Denial, suspension, revocation, fine or condition on grounds of lack of qualification.

Section
90.435

Mandatory suspension of license for failure to pay child support or comply with certain subpoenas or warrants; reinstatement of license. [Effective until the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]

Section
90.440

Withdrawal.

Section
90.450

Custody of client’s securities and money.

Section
90.453

Registration required; exemption; regulations; investigation of persons associated with applicant; denial, suspension or revocation.

Section
90.454

Limitations on trading of security.

Section
90.456

Fee for transactions.

Section
90.457

Use of unregistered exchange by broker-dealer or representative prohibited.

Section
90.460

Registration requirement.

Section
90.465

Expeditious processing of notice of claim of exemption from registration requirement.

Section
90.470

Registration by filing.

Section
90.480

Registration by coordination.

Section
90.490

Registration by qualification.

Section
90.500

Provisions applicable to registration generally.

Section
90.510

Denial, suspension or revocation of registration.

Section
90.520

Exempt securities; filing and fee required for exemption.

Section
90.530

Exempt transactions. [Effective through December 31, 2019.]

Section
90.530

Exempt transactions. [Effective January 1, 2020.]

Section
90.540

Additional exemptions; fee.

Section
90.550

Revocation of exemptions.

Section
90.560

Filing of sales and advertising literature.

Section
90.565

Filing of notice before initial offering of securities.

Section
90.567

Filing of notice after first sale of securities.

Section
90.570

Offer, sale and purchase.

Section
90.575

Fiduciary duty of broker-dealers, sales representatives, investment advisers and representatives of investment advisers; regulations.

Section
90.580

Manipulation of market.

Section
90.590

Prohibited transactions by investment advisers and representatives of investment advisers.

Section
90.600

Misleading filings.

Section
90.605

False or fraudulent representations in investigations, proceedings or prosecutions; offering false evidence; destroying evidence.

Section
90.610

Unlawful representation concerning licensing, registration or exemption.

Section
90.611

Definitions.

Section
90.612

"Exploitation" defined.

Section
90.613

"Reasonable cause to believe" defined.

Section
90.614

Duty of broker-dealers and investment advisers to provide training; reporting to designated reporter.

Section
90.615

Authority of Attorney General and district attorney.

Section
90.620

Investigations and subpoenas.

Section
90.630

Enforcement.

Section
90.640

Power of court to grant relief.

Section
90.650

Criminal penalties.

Section
90.660

Civil liability.

Section
90.670

Statute of limitations.

Section
90.680

Offer of rescission and settlement.

Section
90.690

Burden of proof.

Section
90.700

Liability: General provisions.

Section
90.710

Administration of chapter.

Section
90.715

Strict interpretation of provisions; waiver of enforcement; no-action letter; fee.

Section
90.720

Prohibitions on use of information.

Section
90.730

Public information and confidentiality.

Section
90.740

Cooperation with other agencies.

Section
90.750

Regulations, forms and orders.

Section
90.755

Authority to adopt regulations and orders consistent with federal Jumpstart Our Business Startups Act.

Section
90.760

Good faith reliance.

Section
90.770

Consent to service of process.

Section
90.780

Administrative files and records.

Section
90.790

Administrative proceedings.

Section
90.800

Summary order of Administrator; notice and opportunity for hearing; final order.

Section
90.820

Emergency administrative proceedings.

Section
90.830

Scope of chapter.

Section
90.840

Contract provisions.

Section
90.845

Payment of fees by electronic transfer.

Section
90.847

Electronic delivery of records and applications.

Section
90.860

Short title; uniformity of application and construction.

Section
90.4535

Description of person "associated with" securities exchange or applicant for registration.

Section
90.6115

"Designated reporter" defined.

Section
90.6125

"Older person" defined.

Section
90.6135

"Vulnerable person" defined.

Section
90.6145

Designated reporter: Designation; duty to report; immunity.