South Dakota 31B — Uniform Securities Act Of 2002
- 47-31B-101 — Short title.
- 47-31B-102 — Definitions.
- 47-31B-103 — References to federal statutes.
- 47-31B-104 — References to federal agencies.
- 47-31B-105 — Electronic records and signatures.ARTICLE 2. EXEMPTIONS FROM REGISTRATION OF SECURITIES.
- 47-31B-201 — Exempt securities.
- 47-31B-202 — Exempt transactions.
- 47-31B-203 — Additional exemptions and waivers.
- 47-31B-204 — Denial, suspension, revocation, condition, or limitation of exemptions.ARTICLE 3. REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERALCOVERED SECURITIES.
- 47-31B-301 — Securities registration requirement.
- 47-31B-302 — Notice filing.
- 47-31B-303 — Securities registration by coordination.
- 47-31B-304 — Securities registration by qualification.
- 47-31B-305 — Securities registration filings.
- 47-31B-306 — Denial, suspension, and revocation of securities registration.
- 47-31B-307 — Waiver and modification.ARTICLE 4. BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENTADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS.
- 47-31B-401 — Broker-dealer registration requirement and exemptions.
- 47-31B-402 — Agent registration requirement and exemptions.
- 47-31B-403 — Investment adviser registration and exemptions.
- 47-31B-404 — Investment adviser representative registration requirement and exemptions.
- 47-31B-405 — Federal covered investment adviser notice filing requirement.
- 47-31B-406 — Registration by broker-dealer, agent, investment adviser, and investmentadviser representative.
- 47-31B-407 — Succession and change in registration of broker-dealer or investment advisor.
- 47-31B-408 — Termination of employment or association of agent and investment adviserrepresentative--Transfer of employment or association.
- 47-31B-409 — Withdrawal of registration of broker-dealer, agent, investment adviser, andinvestment adviser representative.
- 47-31B-410 — Filing fees.
- 47-31B-411 — Postregistration requirements.
- 47-31B-412 — Denial, revocation, suspension, withdrawal, restriction, condition, or limitationof registration.ARTICLE 5. FRAUD AND LIABILITIES.
- 47-31B-501 — General fraud.
- 47-31B-502 — Prohibited conduct in providing investment advice.
- 47-31B-503 — Evidentiary burden.
- 47-31B-504 — Filing of sales and advertising literature.
- 47-31B-505 — Misleading filings.
- 47-31B-506 — Misrepresentations concerning registration or exemption.
- 47-31B-507 — Qualified immunity.
- 47-31B-508 — Criminal penalties.
- 47-31B-509 — Civil liability.
- 47-31B-510 — Rescission offers.ARTICLE 6. ADMINISTRATION AND JUDICIAL REVIEW.
- 47-31B-601 — Administration.
- 47-31B-602 — Investigations and subpoenas.
- 47-31B-603 — Civil enforcement.
- 47-31B-604 — Administrative enforcement.
- 47-31B-605 — Rules, forms, orders, interpretive opinions, and hearings.
- 47-31B-606 — Administrative files and opinions.
- 47-31B-607 — Public records--Confidentiality.
- 47-31B-608 — Uniformity and cooperation with other agencies.
- 47-31B-609 — Judicial review.
- 47-31B-610 — Jurisdiction.
- 47-31B-611 — Service of process.
- 47-31B-612 — Severability clause.ARTICLE 7. TRANSITION.
- 47-31B-701 — Reserved.
- 47-31B-703 — Application of chapter to existing proceeding and existing rights and duties.