Chapter 485A
Uniform Securities Act
CHAPTER 485A
UNIFORM SECURITIES ACT
Part I. General Provisions
Section
485A-101 Short title
485A-102 Definitions
485A-103 References to federal statutes
485A-104 References to federal agencies
485A-105 Electronic records and signatures
Part II. Exemptions from Registration of Securities
485A-201 Exempt securities
485A-202 Exempt transactions
485A-203 Additional exemptions and waivers
485A-204 Denial, suspension, revocation, condition, or
limitation of exemptions
Part III. Registration of Securities and Notice
Filing of Federal Covered Securities
485A-301 Securities registration requirement
485A-302 Notice filing
485A-303 Securities registration by qualification
485A-304 Securities registration filings
485A-305 Denial, suspension, and revocation of securities
registration
485A-306 Waiver and modification
Part IV. Broker-Dealers, Agents, Investment
Advisers, Investment Adviser Representatives,
and Federal Covered Investment Advisers
485A-401 Broker-dealer registration requirement and exemptions
485A-402 Agent registration requirement and exemptions
485A-403 Investment adviser registration requirement and
exemptions
485A-404 Investment adviser representative registration
requirement and exemptions
485A-405 Federal covered investment adviser notice filing
requirement
485A-406 Registration by broker-dealer, agent, investment
adviser, and investment adviser representative
485A-407 Succession and change in registration of
broker-dealer or investment adviser
485A-408 Termination of employment or association of agent and
investment adviser representative; transfer of
employment or association
485A-409 Withdrawal of registration of broker-dealer, agent,
investment adviser, and investment adviser
representative
485A-410 Filing fees
485A-411 Postregistration requirements
485A-412 Denial, revocation, suspension, withdrawal,
restriction, condition, or limitation of registration
485A-502 Prohibited conduct in providing investment advice
485A-503 Evidentiary burden
485A-504 Filing of sales and advertising literature
485A-505 Misleading filings
485A-506 Misrepresentations concerning registration or
exemption
485A-507 Qualified immunity
485A-508 Criminal penalties
485A-509 Civil liability
485A-510 Rescission offers
Part VI. Administration and Judicial Review
485A-601 Commissioner of securities
485A-602 Investigations and subpoenas
485A-603 Civil enforcement
485A-603.5 Additional civil penalties for securities violations
committed against elders
485A-604 Administrative enforcement
485A-604.5 Additional administrative penalties for securities
violations committed against elders
485A-605 Venue
485A-606 Rules, forms, orders, interpretative opinions, and
hearings
485A-607 Administrative files and opinions
485A-608 Public records; confidentiality
485A-609 Appeals to court, first circuit; time; bonds; costs;
decree; further appeal
485A-610 Service of process
485A-701 Application of act to existing proceeding and
existing rights and duties
Cross References
Investment securities, Uniform Commercial Code, see chapter 490, article 8.
Uniform transfer-on-death (TOD) security registration act, see chapter 539.