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Section 35-1-101. Short title. - This chapter may be cited as the South Carolina Uniform...
Section 35-1-102. Definitions. - In this chapter, unless the context otherwise requires: (1) "Administrator"...
Section 35-1-103. References to federal statutes. - "Securities Act of 1933" (15 U.S.C. Section 77a et seq.),...
Section 35-1-104. References to federal agencies. - A reference in this chapter to an agency or department...
Section 35-1-105. Electronic records and signatures. - This chapter modifies, limits, and supersedes the federal Electronic Signatures...
Section 35-1-201. Exempt securities. - The following securities are exempt from the requirements of Sections...
Section 35-1-202. Exempt transactions. - The following transactions are exempt from the requirements of Sections...
Section 35-1-203. Additional exemptions and waivers. - A rule adopted or order issued under this chapter may...
Section 35-1-204. Denial, suspension, revocation, condition, or limitation of exemptions. - (a) Except with respect to a federal covered security or...
Section 35-1-301. Securities registration requirement. - It is unlawful for a person to offer or sell...
Section 35-1-302. Notice filing. - (a) With respect to a federal covered security, as defined...
Section 35-1-303. Securities registration by coordination. - (a) A security for which a registration statement has been...
Section 35-1-304. Securities registration by qualification. - (a) A security may be registered by qualification under this...
Section 35-1-305. Securities registration filings. - (a) A registration statement may be filed by the issuer,...
Section 35-1-306. Denial, suspension, and revocation of securities registration. - (a) The Securities Commissioner may issue a stop order denying...
Section 35-1-307. Waiver and modification. - The Securities Commissioner may waive or modify, in whole or...
Section 35-1-401. Broker-dealer registration requirement; exemptions. - (a) It is unlawful for a person to transact business...
Section 35-1-402. Agent registration requirement and exemptions. - (a) It is unlawful for an individual to transact business...
Section 35-1-403. Investment adviser registration requirement; exemptions. - (a) It is unlawful for a person to transact business...
Section 35-1-404. Investment advisor representative registration requirement; exemptions. - (a) It is unlawful for an individual to transact business...
Section 35-1-405. Federal covered investment adviser notice filing requirement. - (a) Except with respect to a federal covered investment adviser...
Section 35-1-406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative. - (a) A person shall register as a broker-dealer, agent, investment...
Section 35-1-407. Succession and change in registration of broker-dealer or investment adviser. - (a) A broker-dealer or investment adviser may succeed to the...
Section 35-1-408. Termination of employment or association of agent and investment adviser representative; transfer of employment or association. - (a) If an agent registered under this chapter terminates employment...
Section 35-1-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative. - Withdrawal of registration by a broker-dealer, agent, investment adviser, or...
Section 35-1-410. Examination and filing fee requirements. - (a) The Securities Commissioner shall establish fees by rule or...
Section 35-1-411. Postregistration requirements. - (a) Subject to Section 15(h) of the Securities Exchange Act...
Section 35-1-412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration. - (a) If the Securities Commissioner finds that the order is...
Section 35-1-501. General fraud. - It is unlawful for a person, in connection with the...
Section 35-1-502. Prohibited conduct in providing investment advice regarding securities. - (a) It is unlawful for a person that advises others...
Section 35-1-503. Evidentiary burden. - (a) In a civil action or administrative proceeding under this...
Section 35-1-504. Filing of sales and advertising literature. - (a) Except as otherwise provided in subsection (b), a rule...
Section 35-1-505. Misleading filings. - It is unlawful for a person to make or cause...
Section 35-1-506. Misrepresentations concerning registration or exemption. - The filing of an application for registration, a registration statement,...
Section 35-1-507. Qualified immunity. - A broker-dealer, agent, investment adviser, federal covered investment adviser, or...
Section 35-1-508. Criminal penalties. - (a) A person that wilfully violates this chapter, or a...
Section 35-1-509. Civil liability. - (a) Enforcement of civil liability under this section is subject...
Section 35-1-510. Rescission offers. - A purchaser, seller, or recipient of investment advice regarding securities...
Section 35-1-601. Administration. - (a) This chapter shall be administered by the Attorney General...
Section 35-1-602. Investigations and subpoenas. - (a) The Securities Commissioner may: (1) conduct public or private...
Section 35-1-603. Civil enforcement. - (a) If the Securities Commissioner believes that a person has...
Section 35-1-604. Administrative enforcement. - (a) If the Securities Commissioner determines that a person has...
Section 35-1-605. Rules, forms, orders, interpretative opinions, and hearings. - (a) The Securities Commissioner may: (1) issue forms and orders...
Section 35-1-606. Administrative files and opinions. - (a) The Securities Commissioner shall maintain, or designate a person...
Section 35-1-607. Public records; confidentiality. - (a) Except as otherwise provided in subsection (b), records obtained...
Section 35-1-608. Uniformity and cooperation with other agencies. - (a) The Securities Commissioner shall, in its discretion, cooperate, coordinate,...
Section 35-1-609. Judicial review. - A person aggrieved by a final order of the Securities...
Section 35-1-610. Jurisdiction. - (a) Sections 35-1-301, 35-1-302, 35-1-401(a), 35-1-402(a), 35-1-403(a), 35-1-404(a), 35-1-501, 35-1-506,...
Section 35-1-611. Service of process. - (a) A consent to service of process complying with this...
Section 35-1-612. Severability clause. - If any provision of this chapter or its application to...
Section 35-1-701. Application of act to existing proceeding and existing rights and duties. - (a) The predecessor chapter exclusively governs all actions or proceedings...
Section 35-1-702. Fees; portion of recovery in civil and administrative enforcement actions retained by Attorney General. - (a) Every applicant applying for registration as a broker-dealer, broker-dealer...
Section 35-1-703. Effective date. - This act takes effect on January 1, 2006. HISTORY: 2005...
Section 35-1-800. Definitions. - In this article, unless the context otherwise requires: (1) "Agencies"...
Section 35-1-810. Notification of agencies. - If a qualified individual reasonably believes that the financial exploitation...
Section 35-1-820. Immunity from administrative and civil liability arising from a disclosure pursuant to Section 35-1-810. - A qualified individual who, in good faith and exercising reasonable...
Section 35-1-830. Disclosure of financial exploitation to designated third party. - If a qualified individual reasonably believes that the financial exploitation...
Section 35-1-840. Immunity from administrative and civil liability arising from a disclosure pursuant to Section 35-1-830. - A qualified individual who, in good faith and exercising reasonable...
Section 35-1-850. Delay of a disbursement or transaction due to suspected financial exploitation. - (A) A broker-dealer or investment adviser may delay a disbursement...
Section 35-1-860. Immunity from administrative and civil liability arising from a delay pursuant to Section 35-1-850. - A qualified individual who, in good faith and exercising reasonable...
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. - A broker-dealer or investment adviser shall provide access to or...
Section 35-1-880. No protection for qualified individuals participating in or materially aiding the financial exploitation of an eligible adult. - Nothing in this article is intended to, nor does it...