Nev. Rev. Stat. ch. 90 – Securities (Uniform Act) | Midpage

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Nevada Revised Statutes

Chapter 90

Nev. Rev. Stat. ch. 90

Securities (Uniform Act)

90.211Definitions 90.215“Administrator” defined 90.220“Broker-dealer” defined 90.223“Commission” defined 90.225“Depository institution” defined 90.230“Division” defined 90.235“Filing” and “file” defined 90.240“Financial or institutional investor” defined 90.245“Fraud,” “deceit” and “defraud” defined 90.250“Investment adviser” defined 90.253“Investment Adviser Registration Depository” defined 90.255“Issuer” defined 90.257“Nevada certified investor” defined 90.260“Nonissuer transaction” defined 90.265“Person” defined 90.270“Price amendment” defined 90.275“Promoter” defined 90.276“Provider of viatical settlements” defined 90.2775“Qualifying private fund” defined 90.278“Representative of an investment adviser” defined 90.280“Sale” and “sell” defined 90.285“Sales representative” defined 90.290“Securities Act of 1933,” “Securities Exchange Act of 1934,” “Public Utility Holding Company Act of 1935,” “Investment Company Act of 1940,” “Investment Advisers Act of 1940,” “Employees Retirement Income Security Act of 1974,” “National Housing Act” and “Commodity Exchange Act” defined 90.292“Securities exchange” defined 90.295“Security” defined 90.300“Self-regulatory organization” defined 90.305“State” defined 90.307“Transfer agent” defined 90.308“Viatical settlement investment” defined 90.309“Viator” defined 90.310Licensing of broker-dealers, sales representatives and transfer agents 90.320Exempt broker-dealers and sales representatives 90.330Licensing of investment advisers and representatives of investment advisers 90.340Exempt investment advisers and representatives of investment advisers 90.345Investment advisers to certain private funds exempt from licensing 90.350Application 90.350Application 90.360Licensing fees 90.370Examinations: Requirement for licensure; administration; waiver 90.372Eligibility of officer or director of issuer for waiver from examination for licensure as sales representative or broker-dealer 90.375Application for issuance or renewal of license: Statement regarding obligation of child support required; grounds for denial of license; duty of Administrator 90.377Application for renewal of license to include information relating to state business license; denial of renewal for unpaid debt assigned to State Controller for collection 90.380Licensing: General provisions 90.380Licensing: General provisions 90.390Requirements after licensing 90.400Licensing of successor firms 90.410Power of inspection 90.415Fee for inspection of records 90.420Grounds for denial, suspension, revocation, fine or condition 90.425Unethical or dishonest practices: Use of certain certifications and professional designations 90.430Denial, suspension, revocation, fine or condition on grounds of lack of qualification 90.435Mandatory suspension of license for failure to pay child support or comply with certain subpoenas or warrants; reinstatement of license 90.440Withdrawal 90.450Custody of client’s securities and money 90.453Registration required; exemption; regulations; investigation of persons associated with applicant; denial, suspension or revocation 90.4535Description of person “associated with” securities exchange or applicant for registration 90.454Limitations on trading of security 90.456Fee for transactions 90.457Use of unregistered exchange by broker-dealer or representative prohibited 90.460Registration requirement 90.465Expeditious processing of notice of claim of exemption from registration requirement 90.470Registration by filing 90.480Registration by coordination 90.490Registration by qualification 90.500Provisions applicable to registration generally 90.510Denial, suspension or revocation of registration 90.520Exempt securities; filing and fee required for exemption 90.530Exempt transactions 90.533Additional requirements for certain transactions 90.540Additional exemptions; fee 90.550Revocation of exemptions 90.560Filing of sales and advertising literature 90.565Filing of notice before initial offering of securities 90.567Filing of notice after first sale of securities 90.570Offer, sale and purchase 90.575Fiduciary duty of broker-dealers, sales representatives, investment advisers and representatives of investment advisers; regulations 90.580Manipulation of market 90.590Prohibited transactions by investment advisers and representatives of investment advisers 90.600Misleading filings 90.605False or fraudulent representations in investigations, proceedings or prosecutions; offering false evidence; destroying evidence 90.610Unlawful representation concerning licensing, registration or exemption 90.611Definitions 90.6115“Designated reporter” defined 90.612“Exploitation” defined 90.6125“Older person” defined 90.613“Reasonable cause to believe” defined 90.6135“Vulnerable person” defined 90.614Duty of broker-dealers and investment advisers to provide training; reporting to designated reporter 90.6145Designated reporter: Designation; duty to report; immunity 90.615Authority of Attorney General and district attorney 90.620Investigations and subpoenas 90.630Enforcement 90.640Power of court to grant relief 90.650Criminal penalties 90.660Civil liability 90.670Statute of limitations 90.680Offer of rescission and settlement 90.690Burden of proof 90.700Liability: General provisions 90.701“Fund” defined 90.703Application; review; appeal; confidentiality 90.705Creation of Fund; disbursement; preparation of quarterly estimates; interest and income; deposits; nonreversion 90.707Acceptance of award of compensation from Fund 90.708Regulations 90.709Biennial report of Administrator 90.710Administration of chapter 90.715Strict interpretation of provisions; waiver of enforcement; no-action letter; fee 90.720Prohibitions on use of information 90.730Public information and confidentiality 90.740Cooperation with other agencies 90.750Regulations, forms and orders 90.755Authority to adopt regulations and orders consistent with federal Jumpstart Our Business Startups Act 90.760Good faith reliance 90.770Consent to service of process 90.780Administrative files and records 90.785Biennial report of Administrator 90.790Administrative proceedings 90.800Summary order of Administrator; notice and opportunity for hearing; final order 90.820Emergency administrative proceedings 90.830Scope of chapter 90.840Contract provisions 90.845Payment of fees by electronic transfer 90.847Electronic delivery of records and applications 90.860Short title; uniformity of application and construction