Uniform Securities Act | Midpage17-12a101Citation of act17-12a102Definitions17-12a103References to federal statutes17-12a104References to federal agencies17-12a105Electronic records and signatures17-12a201Exempt securities17-12a202Exempt transactions17-12a203Additional exemptions and waivers17-12a204Denial, suspension, revocation, condition or limitation of exemptions17-12a205Exemption filing fees17-12a301Securities registration requirement17-12a302Notice filing17-12a303Securities registration by coordination17-12a304Securities registration by qualification17-12a305Securities registration filings17-12a306Denial, suspension and revocation of securities registration17-12a307Waiver and modification17-12a401Broker-dealer registration requirement and exemptions17-12a402Agent registration requirement and exemptions17-12a403Investment adviser registration requirement and exemptions17-12a404Investment adviser representative registration requirement and exemptions17-12a405Federal covered investment adviser notice filing requirement17-12a406Registration by broker-dealer, agent, investment adviser and investment adviser representative17-12a407Succession and change in registration of broker-dealer or investment adviser17-12a408Termination of employment or association of agent and investment adviser representative and transfer of employment or association17-12a409Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative17-12a410Filing fees17-12a411Postregistration requirements17-12a412Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration; grounds for discipline; examinations; procedural requirements for orders17-12a501General fraud17-12a502Prohibited conduct in providing investment advice17-12a503Evidentiary burden17-12a504Filing of sales and advertising literature17-12a505Misleading filings; coercion; obstruction17-12a506Misrepresentations concerning registration or exemption17-12a507Qualified immunity17-12a508Criminal penalties; statute of limitations17-12a509Civil liability17-12a510Rescission offers17-12a601Administration of act; prohibited conduct; remittance of fees; securities act fee fund; investor education and protection; investor education and protection fund17-12a602Investigations and subpoenas17-12a603Civil enforcement; control person liability17-12a604Administrative enforcement; control person liability17-12a605Rules, forms, orders, interpretive opinions and hearings17-12a606Administrative files and opinions17-12a607Public records; confidentiality17-12a608Uniformity and cooperation with other agencies17-12a609Judicial review17-12a610Jurisdiction17-12a611Service of process17-12a612Severability clause17-12a703Repeals; application of act to existing proceeding and existing rights and duties17-12a601aAdministration; investor education fund. [See Revisor's Note]