47-31B-203. Additional exemptions and waivers.
A rule adopted or order issued under this chapter may exempt a security, transaction, or offer; a rule under this chapter may exempt a class of securities, transactions, or offers from any or all of the requirements of §§47-31B-301 through 47-31B-306 and 47-31B-504; and an order under this chapter may waive, in whole or in part, any or all of the conditions for an exemption or offer under §§47-31B-201 and 47-31B-202. A filing required by rules adopted pursuant to this section shall include a fee of two hundred dollars, unless a fee is otherwise identified in this chapter.
Source: SL 2004, ch 278, §8.
Structure South Dakota Codified Laws
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-407 - Succession and change in registration of broker-dealer or investment advisor.
Section 47-31B-410 - Filing fees.
Section 47-31B-411 - Postregistration requirements.
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.