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2017 South Dakota Codified Laws
Title 47 - CORPORATIONS
Chapter 31B - Uniform Securities Act Of 2002
ARTICLE 1. GENERAL PROVISIONS.
- § 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
- § 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.
- § 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.
- § 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 investment adviser 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 adviser representative--Transfer of employment or association.
- § 47-31B-409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
- § 47-31B-410 Filing fees.
- § 47-31B-411 Postregistration requirements.
- § 47-31B-412 Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration
- § 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
- § 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
- § 47-31B-701, 47-31B-702. Reserved
- § 47-31B-703 Application of chapter to existing proceeding and existing rights and duties.
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