There is a newer version of the South Carolina Code of Laws
2012 South Carolina Code of Laws
Title 35 - Securities
Chapter 1 - SOUTH CAROLINA UNIFORM SECURITIES ACT OF 2005
ARTICLE 1 GENERAL PROVISIONS- Section 35-1-101 - Short title.
- Section 35-1-102 - Definitions.
- Section 35-1-103 - to federal statutes.
- Section 35-1-104 - to federal agencies.
- Section 35-1-105 - Electronic records and signatures.
- Section 35-1-201 - Exempt securities.
- Section 35-1-202 - Exempt transactions.
- Section 35-1-203 - Additional exemptions and waivers.
- Section 35-1-204 - Denial, suspension, revocation, condition, or limitation of exemptions.
- Section 35-1-301 - Securities registration requirement.
- Section 35-1-302 - Notice filing.
- Section 35-1-303 - Securities registration by coordination.
- Section 35-1-304 - Securities registration by qualification.
- Section 35-1-305 - Securities registration filings.
- Section 35-1-306 - Denial, suspension, and revocation of securities registration.
- Section 35-1-307 - Waiver and modification.
- Section 35-1-401 - Broker-dealer registration requirement; exemptions.
- Section 35-1-402 - Agent registration requirement and exemptions.
- Section 35-1-403 - Investment adviser registration requirement; exemptions.
- Section 35-1-404 - Investment advisor representative registration requirement; exemptions.
- Section 35-1-405 - Federal covered investment adviser notice filing requirement.
- Section 35-1-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
- Section 35-1-407 - Succession and change in registration of broker-dealer or investment adviser.
- Section 35-1-408 - Termination of employment or association of agent and investment adviser representative; transfer of employment or association.
- Section 35-1-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
- Section 35-1-410 - Examination and filing fee requirements.
- Section 35-1-411 - Postregistration requirements.
- Section 35-1-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.
- Section 35-1-501 - General fraud.
- Section 35-1-502 - Prohibited conduct in providing investment advice regarding securities.
- Section 35-1-503 - Evidentiary burden.
- Section 35-1-504 - Filing of sales and advertising literature.
- Section 35-1-505 - Misleading filings.
- Section 35-1-506 - Misrepresentations concerning registration or exemption.
- Section 35-1-507 - Qualified immunity.
- Section 35-1-508 - Criminal penalties.
- Section 35-1-509 - Civil liability.
- Section 35-1-510 - Rescission offers.
- Section 35-1-601 - Administration.
- Section 35-1-602 - Investigations and subpoenas.
- Section 35-1-603 - Civil enforcement.
- Section 35-1-604 - Administrative enforcement.
- Section 35-1-605 - Rules, forms, orders, interpretative opinions and hearings.
- Section 35-1-606 - Administrative files and opinions.
- Section 35-1-607 - Public records; confidentiality.
- Section 35-1-608 - Uniformity and cooperation with other agencies.
- Section 35-1-609 - Judicial review.
- Section 35-1-610 - Jurisdiction.
- Section 35-1-611 - Service of process.
- Section 35-1-612 - Severability clause.
Disclaimer: These codes may not be the most recent version. South Carolina may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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