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South Carolina Uniform Securities Act Of 2005
Law
South Carolina Code of Laws
Securities
South Carolina Uniform Securities Act Of 2005
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Section
35-1-101
Short title.
Section
35-1-102
Definitions.
Section
35-1-103
References to federal statutes.
Section
35-1-104
References to federal agencies.
Section
35-1-105
Electronic records and signatures.
Section
35-1-201
Exempt securities.
Section
35-1-202
Exempt transactions.
Section
35-1-203
Additional exemptions and waivers.
Section
35-1-204
Denial, suspension, revocation, condition, or limitation of exemptions.
Section
35-1-301
Securities registration requirement.
Section
35-1-302
Notice filing.
Section
35-1-303
Securities registration by coordination.
Section
35-1-304
Securities registration by qualification.
Section
35-1-305
Securities registration filings.
Section
35-1-306
Denial, suspension, and revocation of securities registration.
Section
35-1-307
Waiver and modification.
Section
35-1-401
Broker-dealer registration requirement; exemptions.
Section
35-1-402
Agent registration requirement and exemptions.
Section
35-1-403
Investment adviser registration requirement; exemptions.
Section
35-1-404
Investment advisor representative registration requirement; exemptions.
Section
35-1-405
Federal covered investment adviser notice filing requirement.
Section
35-1-406
Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
Section
35-1-407
Succession and change in registration of broker-dealer or investment adviser.
Section
35-1-408
Termination of employment or association of agent and investment adviser representative; transfer of employment or association.
Section
35-1-409
Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
Section
35-1-410
Examination and filing fee requirements.
Section
35-1-411
Postregistration requirements.
Section
35-1-412
Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
Section
35-1-501
General fraud.
Section
35-1-502
Prohibited conduct in providing investment advice regarding securities.
Section
35-1-503
Evidentiary burden.
Section
35-1-504
Filing of sales and advertising literature.
Section
35-1-505
Misleading filings.
Section
35-1-506
Misrepresentations concerning registration or exemption.
Section
35-1-507
Qualified immunity.
Section
35-1-508
Criminal penalties.
Section
35-1-509
Civil liability.
Section
35-1-510
Rescission offers.
Section
35-1-601
Administration.
Section
35-1-602
Investigations and subpoenas.
Section
35-1-603
Civil enforcement.
Section
35-1-604
Administrative enforcement.
Section
35-1-605
Rules, forms, orders, interpretative opinions, and hearings.
Section
35-1-606
Administrative files and opinions.
Section
35-1-607
Public records; confidentiality.
Section
35-1-608
Uniformity and cooperation with other agencies.
Section
35-1-609
Judicial review.
Section
35-1-610
Jurisdiction.
Section
35-1-611
Service of process.
Section
35-1-612
Severability clause.
Section
35-1-701
Application of act to existing proceeding and existing rights and duties.
Section
35-1-702
Fees; portion of recovery in civil and administrative enforcement actions retained by Attorney General.
Section
35-1-703
Effective date.