Title 9: Commerce and Trade
Chapter 150: SECURITIES ACT
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§ 5101 Short title § 5102 Definitions § 5103 References to federal statutes § 5104 References to federal agencies § 5105 Electronic records and signatures § 5201 Exempt securities § 5202 Exempt transactions § 5203 Additional exemptions and waivers § 5204 Denial, suspension, revocation, condition, or limitations of exemptions § 5301 Securities registration requirement § 5302 Notice filing § 5303 Securities registration by coordination § 5304 Securities registration by qualification § 5305 Securities registration filings § 5306 Denial, suspension, and revocation of securities registration § 5307 Waiver and modification § 5401 Broker-dealer registration requirement and exemptions § 5402 Agent registration requirement and exemptions § 5403 Investment adviser registration requirement and exemptions § 5404 Investment adviser representative registration requirement and exemptions § 5405 Federal covered investment adviser notice filing requirement § 5406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative § 5407 Succession and change in registration of broker-dealer or investment adviser § 5408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association § 5409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative § 5410 Filing fees § 5411 Postregistration requirements § 5412 Denial, revocation, suspension, withdrawal, restriction, condition, or limitations of registration § 5501 General fraud § 5502 Prohibited conduct in providing investment advice § 5503 Evidentiary burden § 5504 Filing of sales and advertising literature § 5505 Misleading filings § 5506 Misrepresentations concerning registration or exemption § 5507 Qualified immunity § 5508 Criminal penalties § 5509 Civil liability § 5510 Rescission offers § 5601 Administration § 5602 Investigations and subpoenas § 5603 Civil enforcement § 5604 Administrative enforcement § 5605 Rules, forms, orders, interpretative opinions, and hearings § 5606 Administrative files and opinions § 5607 Public records; confidentiality § 5608 Uniformity and cooperation with other agencies § 5609 Judicial review § 5610 Jurisdiction § 5611 Service of process § 5612 Severability clause § 5613 Collection and disposition of fees § 5614 Recovery of expenses § 5615 Philanthropy protection act of 1995 Full text of Chapter 150.