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Article 1 - General Provisions
§ 75-71-101. Short title - This chapter may be cited as the Mississippi Securities Act...
§ 75-71-102. Definitions - In this chapter, unless the context otherwise requires: A banking...
§ 75-71-103. References to federal statutes - "Securities Act of 1933" (15 USC Section 77a et seq.),...
§ 75-71-104. References to federal agencies - A reference in this chapter to an agency or department...
§ 75-71-105. Electronic records and signatures - This chapter modifies, limits, and supersedes the federal Electronic Signatures...
Article 2 - Exemptions From Registration of Securities
§ 75-71-201. Exempt securities - The following securities are exempt from the requirements of Sections...
§ 75-71-202. Exempt transactions - The following transactions are exempt from the requirements of Sections...
§ 75-71-203. Additional exemptions and waivers - A rule adopted or order issued under this chapter may...
§ 75-71-204. Denial, suspension, revocation, condition, or limitation of exemptions - Enforcement related powers. Except with respect to a federal covered...
Article 3 - Registration of securities and notice filing of federal covered securities
§ 75-71-301. Securities registration requirement - It is unlawful for a person to offer or sell...
§ 75-71-302. Notice filing - Required filing of records.- With respect to a federal covered...
§ 75-71-303. Securities registration by coordination - Registration permitted. A security for which a registration statement has...
§ 75-71-304. Securities registration by qualification - Registration permitted. A security may be registered by qualification under...
§ 75-71-305. Securities registration filings - Who may file. A registration statement may be filed by...
§ 75-71-306. Denial, suspension, and revocation of securities registration - Stop orders. The administrator may issue a stop order denying...
§ 75-71-307. Waiver and modification - The administrator may waive or modify, in whole or in...
§ 75-71-310. Filing fees - Required fees for notice filing for federal covered securities under...
Article 4 - Broker-dealers, agents, investment advisers, investment adviser representatives, and federal covered investment advisers
§ 75-71-401. Broker-dealer registration requirement and exemptions - Registration requirement. It is unlawful for a person to transact...
§ 75-71-402. Agent registration requirement and exemptions - Registration requirement. It is unlawful for an individual to transact...
§ 75-71-403. Investment adviser registration requirement and exemptions - Registration requirement. It is unlawful for a person to transact...
§ 75-71-404. Investment adviser representative registration requirement and exemptions - Registration requirement. It is unlawful for an individual to transact...
§ 75-71-405. Federal covered investment adviser notice filing requirement - Notice filing requirement. Except with respect to a federal covered...
§ 75-71-406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative - Application for initial registration. A person shall register as a...
§ 75-71-407. Succession and change in registration of broker-dealer or investment adviser - Succession. A broker-dealer or investment adviser may succeed to the...
§ 75-71-408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association - Notice of termination. If an agent registered under this chapter...
§ 75-71-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative - Withdrawal of registration by a broker-dealer, agent, investment adviser, or...
§ 75-71-410. Fees - Fee established by administrator. The administrator shall establish fees by...
§ 75-71-411. Postregistration requirements - Financial requirements. Subject to Section 15(h) of the Securities Exchange...
§ 75-71-412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration - Disciplinary conditions-applicants.If the administrator finds that the order is in...
§ 75-71-413. Prevention of financial exploitation of vulnerable persons; certain broker-dealers and investment advisers required to file report under Mississippi Vulnerable Persons Act must forward copy of report to administrator; initiation of inter... - A broker-dealer registered or required to be registered under this...
Article 5 - Fraud and liabilities
§ 75-71-501. General fraud - It is unlawful for a person, in connection with the...
§ 75-71-502. Prohibited conduct in providing investment advice - Fraud in providing investment advice. It is unlawful for a...
§ 75-71-503. Evidentiary burden - Civil. In a civil action or administrative proceeding under this...
§ 75-71-504. Filing of sales and advertising literature - Filing requirement. Except as otherwise provided in subsection (b), a...
§ 75-71-505. Misleading filings - It is unlawful for a person to make or cause...
§ 75-71-506. Misrepresentations concerning registration or exemption - The filing of an application for registration, a registration statement,...
§ 75-71-507. Qualified immunity - A broker-dealer, agent, investment adviser, federal covered investment adviser, or...
§ 75-71-508. Criminal penalties - Criminal penalties. A person that willfully violates this chapter except...
§ 75-71-509. Civil liability - Securities Litigation Uniform Standards Act. Enforcement of civil liability under...
§ 75-71-510. Rescission offers - A purchaser of a security, seller of a security, or...
Article 6 - Administration and Judicial Review
§ 75-71-601. Administration - Administration. The administrator shall administer this chapter. Unlawful use of...
§ 75-71-602. Investigations and subpoenas - Authority to investigate. The administrator may: Administrator powers to investigate....
§ 75-71-603. Civil enforcement - Civil action instituted by administrator. If the administrator believes that...
§ 75-71-604. Administrative enforcement - Issuance of an order or notice. If the administrator determines...
§ 75-71-605. Rules, forms, orders, interpretative opinions, and hearings - Issuance and adoption of forms, orders, and rules. The administrator...
§ 75-71-606. Administrative files and opinions - Public register of filings. The administrator shall maintain, or designate...
§ 75-71-607. Public records; confidentiality - Presumption of public records. Except as otherwise provided in subsection...
§ 75-71-608. Uniformity and cooperation with other agencies - Objective of uniformity. The administrator may, in its discretion, cooperate,...
§ 75-71-609. Judicial review - Petition for judicial review of order; venue; scope of review....
§ 75-71-610. Jurisdiction - Sales and offers to sell. Sections 75-71-301, 75-71-302, 75-71-401(a), 75-71-402(a),...
§ 75-71-611. Service of process - Signed consent to service of process. A consent to service...
§ 75-71-612. Severability clause - If any provision of this chapter or its application to...
§ 75-71-613. Amounts of civil and criminal penalties - Amount of civil disciplinary penalties imposed - registrants. The amount...
Article 7 - Transition
§ 75-71-701. Application of chapter to existing proceeding and existing rights and duties - Applicability of predecessor chapter to pending proceedings and existing rights.The...