Article 12a - UNIFORM SECURITIES ACT
- Section 17-12a101 - Citation of act
- Section 17-12a102 - Definitions
- Section 17-12a103 - References to federal statutes
- Section 17-12a104 - References to federal agencies
- Section 17-12a105 - Electronic records and signatures
- Section 17-12a201 - Exempt securities
- Section 17-12a202 - Exempt transactions
- Section 17-12a203 - Additional exemptions and waivers
- Section 17-12a204 - Denial, suspension, revocation, condition or limitation of exemptions
- Section 17-12a205 - Exemption filing fees
- Section 17-12a301 - Securities registration requirement
- Section 17-12a302 - Notice filing
- Section 17-12a303 - Securities registration by coordination
- Section 17-12a304 - Securities registration by qualification
- Section 17-12a305 - Securities registration filings
- Section 17-12a306 - Denial, suspension and revocation of securities registration
- Section 17-12a307 - Waiver and modification
- Section 17-12a401 - Broker-dealer registration requirement and exemptions
- Section 17-12a402 - Agent registration requirement and exemptions
- Section 17-12a403 - Investment adviser registration requirement and exemptions
- Section 17-12a404 - Investment adviser representative registration requirement and exemptions
- Section 17-12a405 - Federal covered investment adviser notice filing requirement
- Section 17-12a406 - Registration by broker-dealer, agent, investment adviser and investment adviser representative
- Section 17-12a407 - Succession and change in registration of broker-dealer or investment adviser
- Section 17-12a408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- Section 17-12a409 - Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative
- Section 17-12a410 - Filing fees
- Section 17-12a411 - Postregistration requirements
- Section 17-12a412 - [Effective Until 7/1/2024] Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration
- Section 17-12a412 - [Effective 7/1/2024] Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration
- Section 17-12a501 - General fraud
- Section 17-12a502 - Prohibited conduct in providing investment advice
- Section 17-12a503 - Evidentiary burden
- Section 17-12a504 - Filing of sales and advertising literature
- Section 17-12a505 - Misleading filings; coercion; obstruction
- Section 17-12a506 - Misrepresentations concerning registration or exemption
- Section 17-12a507 - Qualified immunity
- Section 17-12a508 - Criminal penalties; statute of limitations
- Section 17-12a509 - Civil liability
- Section 17-12a510 - Rescission offers
- Section 17-12a601 - Administration of act; prohibited conduct; remittance of fees; securities act fee fund; investor education and protection; investor education and protection fund
- Section 17-12a602 - Investigations and subpoenas
- Section 17-12a603 - [Effective Until 7/1/2024] Civil enforcement
- Section 17-12a603 - [Effective 7/1/2024] Civil enforcement
- Section 17-12a604 - [Effective Until 7/1/2024] Administrative enforcement
- Section 17-12a604 - [Effective 7/1/2024] Administrative enforcement
- Section 17-12a605 - Rules, forms, orders, interpretive opinions and hearings
- Section 17-12a606 - Administrative files and opinions
- Section 17-12a607 - Public records; confidentiality
- Section 17-12a608 - Uniformity and cooperation with other agencies
- Section 17-12a609 - Judicial review
- Section 17-12a610 - Jurisdiction
- Section 17-12a611 - Service of process
- Section 17-12a612 - Severability clause
- Section 17-12a703 - Repeals; application of act to existing proceeding and existing rights and duties