South Dakota Codified Laws
Chapter 31B - Uniform Securities Act Of 2002
Section 47-31B-103 - References to federal statutes.

47-31B-103.References to federal statutes.
Securities Act of 1933 (15 U.S.C. §77a et seq.), Securities Exchange Act of 1934 (15 U.S.C. §78a et seq.), Public Utility Holding Company Act of 1935 (15 U.S.C. §79 et seq.), Investment Company Act of 1940 (15 U.S. C. §80a-1 et seq.), Investment Advisers Act of 1940 (15 U.S.C. §80b-1 et seq.), Employee Retirement Income Security Act of 1974 (29 U.S.C. §1001 et seq.), National Housing Act (12 U.S.C. §1701 et seq.), Commodity Exchange Act (7 U.S.C. §1 et seq.), Internal Revenue Code (26 U.S.C. §1 et seq. ), Securities Investor Protection Act of 1970 (15 U.S.C. §78aaa et seq.), Securities Litigation Uniform Standards Act of 1998 (112 Stat. 3227), Small Business Investment Act of 1958 (15 U.S.C. §661 et seq.), and Electronic Signatures in Global and National Commerce Act (15 U.S.C. §7001 et seq.) mean those statutes and the rules and regulations adopted under those statutes, as in effect July 1, 2004, or as later amended.

Source: SL 2004, ch 278, §3.

Structure South Dakota Codified Laws

South Dakota Codified Laws

Title 47 - Corporations

Chapter 31B - Uniform Securities Act Of 2002

Section 47-31B-101 - Short title.

Section 47-31B-102 - Definitions.

Section 47-31B-103 - References to federal statutes.

Section 47-31B-104 - References to federal agencies.

Section 47-31B-105 - Electronic records and signatures.

Section 47-31B-201 - Exempt securities.

Section 47-31B-202 - Exempt transactions.

Section 47-31B-203 - Additional exemptions and waivers.

Section 47-31B-204 - Denial, suspension, revocation, condition, or limitation of exemptions.

Section 47-31B-301 - Securities registration requirement.

Section 47-31B-302 - Notice filing.

Section 47-31B-303 - Securities registration by coordination.

Section 47-31B-304 - Securities registration by qualification.

Section 47-31B-305 - Securities registration filings.

Section 47-31B-306 - Denial, suspension, and revocation of securities registration.

Section 47-31B-307 - Waiver and modification.

Section 47-31B-401 - Broker-dealer registration requirement and exemptions.

Section 47-31B-402 - Agent registration requirement and exemptions.

Section 47-31B-403 - Investment adviser registration and exemptions.

Section 47-31B-404 - Investment adviser representative registration requirement and exemptions.

Section 47-31B-405 - Federal covered investment adviser notice filing requirement.

Section 47-31B-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

Section 47-31B-407 - Succession and change in registration of broker-dealer or investment advisor.

Section 47-31B-408 - Termination of employment or association of agent and investment adviser representative--Transfer of employment or association.

Section 47-31B-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

Section 47-31B-410 - Filing fees.

Section 47-31B-411 - Postregistration requirements.

Section 47-31B-412 - Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.

Section 47-31B-501 - General fraud.

Section 47-31B-502 - Prohibited conduct in providing investment advice.

Section 47-31B-503 - Evidentiary burden.

Section 47-31B-504 - Filing of sales and advertising literature.

Section 47-31B-505 - Misleading filings.

Section 47-31B-506 - Misrepresentations concerning registration or exemption.

Section 47-31B-507 - Qualified immunity.

Section 47-31B-508 - Criminal penalties.

Section 47-31B-509 - Civil liability.

Section 47-31B-510 - Rescission offers.

Section 47-31B-601 - Administration.

Section 47-31B-602 - Investigations and subpoenas.

Section 47-31B-603 - Civil enforcement.

Section 47-31B-604 - Administrative enforcement.

Section 47-31B-605 - Rules, forms, orders, interpretive opinions, and hearings.

Section 47-31B-606 - Administrative files and opinions.

Section 47-31B-607 - Public records--Confidentiality.

Section 47-31B-608 - Uniformity and cooperation with other agencies.

Section 47-31B-609 - Judicial review.

Section 47-31B-610 - Jurisdiction.

Section 47-31B-611 - Service of process.

Section 47-31B-612 - Severability clause.

Section 47-31B-703 - Application of chapter to existing proceeding and existing rights and duties.