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2014 Statute

Section Number

17-12a-101 - Citation of act.
17-12a-102 - Definitions.
17-12a-103 - References to federal statutes.
17-12a-104 - References to federal agencies.
17-12a-105 - Electronic records and signatures.
17-12a-201 - Exempt securities.
17-12a-202 - Exempt transactions.
17-12a-203 - Additional exemptions and waivers.
17-12a-204 - Denial, suspension, revocation, condition or limitation of exemptions.
17-12a-205 - Exemption filing fees.
17-12a-301 - Securities registration requirement.
17-12a-302 - Notice filing.
17-12a-303 - Securities registration by coordination.
17-12a-304 - Securities registration by qualification.
17-12a-305 - Securities registration filings.
17-12a-306 - Denial, suspension and revocation of securities registration.
17-12a-307 - Waiver and modification.
17-12a-401 - Broker-dealer registration requirement and exemptions.
17-12a-402 - Agent registration requirement and exemptions.
17-12a-403 - Investment adviser registration requirement and exemptions.
17-12a-404 - Investment adviser representative registration requirement and exemptions.
17-12a-405 - Federal covered investment adviser notice filing requirement.
17-12a-406 - Registration by broker-dealer, agent, investment adviser and investment adviser representative.
17-12a-407 - Succession and change in registration of broker-dealer or investment adviser.
17-12a-408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
17-12a-409 - Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative.
17-12a-410 - Filing fees.
17-12a-411 - Postregistration requirements.
17-12a-412 - Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration.
17-12a-501 - General fraud.
17-12a-502 - Prohibited conduct in providing investment advice.
17-12a-503 - Evidentiary burden.
17-12a-504 - Filing of sales and advertising literature.
17-12a-505 - Misleading filings; coercion; obstruction.
17-12a-506 - Misrepresentations concerning registration or exemption.
17-12a-507 - Qualified immunity.
17-12a-508 - Criminal penalties; statute of limitations.
17-12a-509 - Civil liability.
17-12a-510 - Rescission offers.
17-12a-601 - Administration; investor education and protection fund. [See Revisor's Note]
17-12a-601a - Administration; investor education fund. [See Revisor's Note]
17-12a-602 - Investigations and subpoenas.
17-12a-603 - Civil enforcement.
17-12a-604 - Administrative enforcement.
17-12a-605 - Rules, forms, orders, interpretive opinions and hearings.
17-12a-606 - Administrative files and opinions.
17-12a-607 - Public records; confidentiality.
17-12a-608 - Uniformity and cooperation with other agencies.
17-12a-609 - Judicial review.
17-12a-610 - Jurisdiction.
17-12a-611 - Service of process.
17-12a-612 - Severability clause.
17-12a-703 - Repeals; application of act to existing proceeding and existing rights and duties.