South Dakota Codified Laws
Title 47 - Corporations
Chapter 31B - Uniform Securities Act Of 2002

Section 47-31B-105 - Electronic records and signatures. - 47-31B-105.Electronic records and signatures. This chapter modifies, limits, and supersedes...

Section 47-31B-201 - Exempt securities. - 47-31B-201. Exempt securities. The following securities are exempt from the...

Section 47-31B-202 - Exempt transactions. - 47-31B-202. Exempt transactions. The following transactions are exempt from the...

Section 47-31B-203 - Additional exemptions and waivers. - 47-31B-203. Additional exemptions and waivers. A rule adopted or order...

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

Section 47-31B-301 - Securities registration requirement. - 47-31B-301. Securities registration requirement. It is unlawful for a person...

Section 47-31B-302 - Notice filing. - 47-31B-302.Notice filing. (a) Required filing of records. With respect to...

Section 47-31B-303 - Securities registration by coordination. - 47-31B-303. Securities registration by coordination. (a) Registration permitted. A security...

Section 47-31B-304 - Securities registration by qualification. - 47-31B-304. Securities registration by qualification. (a) Registration permitted. A security...

Section 47-31B-305 - Securities registration filings. - 47-31B-305. Securities registration filings. (a) Who may file. A registration...

Section 47-31B-306 - Denial, suspension, and revocation of securities registration. - 47-31B-306. Denial, suspension, and revocation of securities registration. (a) Stop...

Section 47-31B-307 - Waiver and modification. - 47-31B-307. Waiver and modification. The director may waive or modify,...

Section 47-31B-401 - Broker-dealer registration requirement and exemptions. - 47-31B-401. Broker-dealer registration requirement and exemptions. (a) Registration requirement. It...

Section 47-31B-402 - Agent registration requirement and exemptions. - 47-31B-402. Agent registration requirement and exemptions. (a) Registration requirement. It...

Section 47-31B-403 - Investment adviser registration and exemptions. - 47-31B-403. Investment adviser registration and exemptions. (a) Registration requirement. It...

Section 47-31B-404 - Investment adviser representative registration requirement and exemptions. - 47-31B-404. Investment adviser representative registration requirement and exemptions. (a) Registration...

Section 47-31B-405 - Federal covered investment adviser notice filing requirement. - 47-31B-405. Federal covered investment adviser notice filing requirement. (a) Notice...

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

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

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

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

Section 47-31B-410 - Filing fees. - 47-31B-410. Filing fees. (a) Broker-dealers. A person shall pay a...

Section 47-31B-411 - Postregistration requirements. - 47-31B-411.Postregistration requirements. (a) Financial requirements. Subject to Section 15(h) of...

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

Section 47-31B-501 - General fraud. - 47-31B-501. General fraud. It is unlawful for a person, in...

Section 47-31B-502 - Prohibited conduct in providing investment advice. - 47-31B-502. Prohibited conduct in providing investment advice. (a) Fraud in...

Section 47-31B-503 - Evidentiary burden. - 47-31B-503. Evidentiary burden. (a) Civil. In a civil action or...

Section 47-31B-504 - Filing of sales and advertising literature. - 47-31B-504. Filing of sales and advertising literature. (a) Filing requirement....

Section 47-31B-505 - Misleading filings. - 47-31B-505. Misleading filings. It is unlawful for a person to...

Section 47-31B-506 - Misrepresentations concerning registration or exemption. - 47-31B-506. Misrepresentations concerning registration or exemption. The filing of an...

Section 47-31B-507 - Qualified immunity. - 47-31B-507. Qualified immunity. A broker-dealer, agent, investment adviser, federal covered...

Section 47-31B-508 - Criminal penalties. - 47-31B-508. Criminal penalties. (a) Criminal penalties. It is a Class...

Section 47-31B-509 - Civil liability. - 47-31B-509. Civil liability. (a) Securities Litigation Uniform Standards Act. Enforcement...

Section 47-31B-510 - Rescission offers. - 47-31B-510. Rescission offers. A purchaser, seller, or recipient of investment...

Section 47-31B-601 - Administration. - 47-31B-601. Administration. (a) Administration. This chapter shall be administered by...

Section 47-31B-602 - Investigations and subpoenas. - 47-31B-602. Investigations and subpoenas. (a) Authority to investigate. The director...

Section 47-31B-603 - Civil enforcement. - 47-31B-603. Civil enforcement. (a) Civil action instituted by director. If...

Section 47-31B-604 - Administrative enforcement. - 47-31B-604. Administrative enforcement. (a) Issuance of an order or notice....

Section 47-31B-605 - Rules, forms, orders, interpretive opinions, and hearings. - 47-31B-605. Rules, forms, orders, interpretive opinions, and hearings. (a) Issuance...

Section 47-31B-606 - Administrative files and opinions. - 47-31B-606. Administrative files and opinions. (a) Public register of filings....

Section 47-31B-607 - Public records--Confidentiality. - 47-31B-607. Public records--Confidentiality. (a) Presumption of public records. Except as...

Section 47-31B-608 - Uniformity and cooperation with other agencies. - 47-31B-608. Uniformity and cooperation with other agencies. (a) Objective of...

Section 47-31B-609 - Judicial review. - 47-31B-609. Judicial review. (a) Judicial review of orders. A final...

Section 47-31B-610 - Jurisdiction. - 47-31B-610. Jurisdiction. (a) Sales and offers to sell. Sections 47-31B-301,...

Section 47-31B-611 - Service of process. - 47-31B-611. Service of process. (a) Signed consent to service of...

Section 47-31B-612 - Severability clause. - 47-31B-612. Severability clause. If any provision of this chapter or...

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

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South Dakota Codified Laws Title 47 - Corporations Chapter 31B - Uniform Securities Act Of 2002

South Dakota Codified Laws
Title 47 - Corporations
Chapter 31B - Uniform Securities Act Of 2002