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Article 1. Fraudulent and Other Prohibited Practices
§32-1-101. Sales and Purchases - It is unlawful for any person, in connection with the...
§32-1-102. Advisory Activities - (a) It is unlawful for any person who receives any...
Article 2. Registration of Broker-Dealers and Agents; Registration and Notice Filing for Investment Advisers
§32-2-201. Registration Requirement - (a) It is unlawful for any person to transact business...
§32-2-202. Registration and Notice Filing Procedure - (a) A broker-dealer, agent or investment adviser may obtain an...
§32-2-203. Post-Registration Provisions - (a) Every registered broker-dealer and investment adviser shall make and...
§32-2-204. Denial, Revocation, Suspension, Otherwise Condition, Cancellation and Withdrawal of Registration - (a) The commissioner may by order deny, suspend, otherwise condition...
Article 3. Registration of Securities
§32-3-301. Registration Requirement - It is unlawful for any person to offer or sell...
§32-3-302. Registration by Notification - (a) The following securities may be registered by notification, whether...
§32-3-303. Registration by Coordination - (a) Any security for which a registration statement has been...
§32-3-304. Registration by Qualification - (a) Any security may be registered by qualification. (b) A...
§32-3-304a. Federal Covered Securities - (a) Securities for which a registration statement has been filed...
§32-3-305. Provisions Applicable to Registration and Notice Filing Generally - (a) A registration or notice filing statement may be filed...
§32-3-306. Denial, Suspension and Revocation of Registration - (a) The commissioner may issue a stop order denying effectiveness...
Article 4. General Provisions
§32-4-401. Definitions - When used in this chapter, unless the context otherwise requires:...
§32-4-402. Exemptions - (a) The following securities are exempt from section three hundred...
§32-4-403. Filing of Sales and Advertising Literature - Any prospectus, pamphlet, circular, form letter, advertisement or any other...
§32-4-404. Misleading Filings - It is unlawful for any person to make or cause...
§32-4-405. Unlawful Representations Concerning Registration, Exemption or Notice Filing - (a) Neither (1) the fact that a notice filing or...
§32-4-406. Administration of Chapter; Operating Fund for Securities Department - (a) This chapter shall be administered by the Auditor of...
§32-4-407. Sworn Investigator, Investigations and Subpoenas - (a) Sworn Investigators. -- (1) The commissioner may appoint special...
§32-4-407a. Administrative Assessments - (a) A registrant, applicant for registration, issuer or other person...
§32-4-408. Injunctions - Whenever it appears to the commissioner that any person has...
§32-4-409. Criminal Penalties - (a) Any person who willfully violates any provision of this...
§32-4-410. Civil Liabilities - (a) Any person who (1) Offers or sells a security...
§32-4-411. Judicial Review of Orders - (a) Any person aggrieved by a final order of the...
§32-4-412. Rules, Forms, Orders and Hearings - (a) The commissioner may from time to time make, amend...
§32-4-413. Administrative Files and Opinions - (a) A document is filed when it is received by...
§32-4-414. Scope of the Chapter and Service of Process - (a) Sections 101, 201(a), 301, 405 and 410 apply to...
§32-4-415. Statutory Policy - This chapter shall be so construed as to effectuate the...
§32-4-416. Short Title - This chapter may be cited as the "Uniform Securities Act."
§32-4-417. Severability of Provisions - If any provision of this chapter or the application thereof...
§32-4-418. Saving Provisions - (a) Prior law exclusively governs all suits, actions, prosecutions or...
Article 5. West Virginia Small Business Capital Act
§32-5-501. Short Title - This article shall be known as the West Virginia Small...
§32-5-502. Offer or Sale of Small Business Securities - Notwithstanding any other provision of law to the contrary, certain...
§32-5-503. Qualifications of Issuer and Purchaser - (a) In order to qualify for exemption under this article,...
§32-5-504. Qualifications of Offers, Sales and Transactions - (a) The transaction must meet the requirements of the federal...
§32-5-505. West Virginia Crowdfunding Portal Requirements - (a) The offering must be made exclusively through an internet-based...
Article 6. The Protection of Eligible Adults From Financial Exploitation
§32-6-601. Short Title - This article may be cited as "The Protection of Eligible...
§32-6-602. Definitions - In this article, unless the context otherwise requires: (1) "Agencies"...
§32-6-603. Governmental Disclosures - If a broker-dealer or investment adviser reasonably believes that financial...
§32-6-604. Immunity for Governmental Disclosures - A broker-dealer or investment adviser that, in good faith and...
§32-6-605. Third-Party Disclosures - If a broker-dealer or investment adviser reasonably believes that financial...
§32-6-606. Immunity for Third-Party Disclosures - A broker-dealer or investment adviser that, in good faith and...
§32-6-607. Delaying Transactions or Disbursements - (a) A broker-dealer or investment adviser may delay a transaction...
§32-6-608. Immunity for Delaying Transactions or Disbursements - A broker-dealer or investment adviser that, in good faith and...
§32-6-609. Records - A broker-dealer or investment adviser shall provide access to or...
§32-6-610. Immunity for Complying With Records Requests - A broker-dealer or investment adviser that, in good faith and...