South Carolina Code of Laws
Chapter 1 - South Carolina Uniform Securities Act Of 2005
Section 35-1-703. Effective date.

South Carolina Code of Laws

Title 35 - Securities

Chapter 1 - South Carolina Uniform Securities Act Of 2005

Section 35-1-101. Short title.

Section 35-1-102. Definitions.

Section 35-1-103. References to federal statutes.

Section 35-1-104. References 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.

Section 35-1-701. Application of act to existing proceeding and existing rights and duties.

Section 35-1-702. Fees; portion of recovery in civil and administrative enforcement actions retained by Attorney General.

Section 35-1-703. Effective date.

Section 35-1-800. Definitions.

Section 35-1-810. Notification of agencies.

Section 35-1-820. Immunity from administrative and civil liability arising from a disclosure pursuant to Section 35-1-810.

Section 35-1-830. Disclosure of financial exploitation to designated third party.

Section 35-1-840. Immunity from administrative and civil liability arising from a disclosure pursuant to Section 35-1-830.

Section 35-1-850. Delay of a disbursement or transaction due to suspected financial exploitation.

Section 35-1-860. Immunity from administrative and civil liability arising from a delay pursuant to Section 35-1-850.

Section 35-1-870. Access to or copies of records relevant to suspected or attempted financial exploitation of an eligible adult to agencies or law enforcement; records not available for public examination.

Section 35-1-880. No protection for qualified individuals participating in or materially aiding the financial exploitation of an eligible adult.