S.D. Codified Laws ch. 47-31B – Uniform Securities Act of 2002 | Midpage

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South Dakota Codified Laws

Chapter 47-31B

S.D. Codified Laws ch. 47-31B

Uniform Securities Act of 2002

47-31B-101Short title.47-31B-102Definitions.47-31B-103References to federal statutes.47-31B-104References to federal agencies.47-31B-105Electronic records and signatures.47-31B-201Exempt securities.47-31B-202Exempt transactions.47-31B-203Additional exemptions and waivers.47-31B-204Denial, suspension, revocation, condition, or limitation of exemptions.47-31B-301Securities registration requirement.47-31B-302Notice filing.47-31B-303Securities registration by coordination.47-31B-304Securities registration by qualification.47-31B-305Securities registration filings.47-31B-306Denial, suspension, and revocation of securities registration.47-31B-307Waiver and modification.47-31B-401Broker-dealer registration requirement and exemptions.47-31B-402Agent registration requirement and exemptions.47-31B-403Investment adviser registration and exemptions.47-31B-404Investment adviser representative registration requirement and exemptions.47-31B-405Federal covered investment adviser notice filing requirement.47-31B-406Registration by broker-dealer, agent, investment adviser, and investment adviser representative.47-31B-407Succession and change in registration of broker-dealer or investment advisor.47-31B-408Termination of employment or association of agent and investment adviser representative--Transfer of employment or association.47-31B-409Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.47-31B-410Filing fees.47-31B-411Postregistration requirements.47-31B-412Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.47-31B-501General fraud.47-31B-502Prohibited conduct in providing investment advice.47-31B-503Evidentiary burden.47-31B-504Filing of sales and advertising literature.47-31B-505Misleading filings.47-31B-506Misrepresentations concerning registration or exemption.47-31B-507Qualified immunity.47-31B-508Criminal penalties.47-31B-509Civil liability.47-31B-510Rescission offers.47-31B-601Administration.47-31B-602Investigations and subpoenas.47-31B-603Civil enforcement.47-31B-604Administrative enforcement.47-31B-605Rules, forms, orders, interpretive opinions, and hearings.47-31B-606Administrative files and opinions.47-31B-607Public records--Confidentiality.47-31B-608Uniformity and cooperation with other agencies.47-31B-609Judicial review.47-31B-610Jurisdiction.47-31B-611Service of process.47-31B-612Severability clause.47-31B-70147-31B-701, 47-31B-702. Reserved 47-31B-703Application of chapter to existing proceeding and existing rights and duties.