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Aug. 11, 2022
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2019 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.
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.
2022. Powered by KLISS. Rendered: 2022-08-11T11:58:51. Head Rev No: 593009(E)