Uniform Securities Act Of 2002

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  2. South Dakota Codified Laws
  3. Corporations
  4. Uniform Securities Act Of 2002

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Section
47-31B-101

Short title.

Section
47-31B-102

Definitions.

Section
47-31B-103

References to federal statutes.

Section
47-31B-104

References to federal agencies.

Section
47-31B-105

Electronic records and signatures.

Section
47-31B-201

Exempt securities.

Section
47-31B-202

Exempt transactions.

Section
47-31B-203

Additional exemptions and waivers.

Section
47-31B-204

Denial, suspension, revocation, condition, or limitation of exemptions.

Section
47-31B-301

Securities registration requirement.

Section
47-31B-302

Notice filing.

Section
47-31B-303

Securities registration by coordination.

Section
47-31B-304

Securities registration by qualification.

Section
47-31B-305

Securities registration filings.

Section
47-31B-306

Denial, suspension, and revocation of securities registration.

Section
47-31B-307

Waiver and modification.

Section
47-31B-401

Broker-dealer registration requirement and exemptions.

Section
47-31B-402

Agent registration requirement and exemptions.

Section
47-31B-403

Investment adviser registration and exemptions.

Section
47-31B-404

Investment adviser representative registration requirement and exemptions.

Section
47-31B-405

Federal covered investment adviser notice filing requirement.

Section
47-31B-406

Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

Section
47-31B-407

Succession and change in registration of broker-dealer or investment advisor.

Section
47-31B-408

Termination of employment or association of agent and investment adviser representative--Transfer of employment or association.

Section
47-31B-409

Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

Section
47-31B-410

Filing fees.

Section
47-31B-411

Postregistration requirements.

Section
47-31B-412

Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.

Section
47-31B-501

General fraud.

Section
47-31B-502

Prohibited conduct in providing investment advice.

Section
47-31B-503

Evidentiary burden.

Section
47-31B-504

Filing of sales and advertising literature.

Section
47-31B-505

Misleading filings.

Section
47-31B-506

Misrepresentations concerning registration or exemption.

Section
47-31B-507

Qualified immunity.

Section
47-31B-508

Criminal penalties.

Section
47-31B-509

Civil liability.

Section
47-31B-510

Rescission offers.

Section
47-31B-601

Administration.

Section
47-31B-602

Investigations and subpoenas.

Section
47-31B-603

Civil enforcement.

Section
47-31B-604

Administrative enforcement.

Section
47-31B-605

Rules, forms, orders, interpretive opinions, and hearings.

Section
47-31B-606

Administrative files and opinions.

Section
47-31B-607

Public records--Confidentiality.

Section
47-31B-608

Uniformity and cooperation with other agencies.

Section
47-31B-609

Judicial review.

Section
47-31B-610

Jurisdiction.

Section
47-31B-611

Service of process.

Section
47-31B-612

Severability clause.

Section
47-31B-701

47-31B-702. Reserved.

Section
47-31B-703

Application of chapter to existing proceeding and existing rights and duties.