Chapter 90 - Securities (Uniform Act)
- ADMINISTRATION
- 90.710 - Administration of chapter.
- 90.715 - Strict interpretation of provisions; waiver of enforcement; no-action letter; fee.
- 90.720 - Prohibitions on use of information.
- 90.730 - Public information and confidentiality.
- 90.740 - Cooperation with other agencies.
- 90.750 - Regulations, forms and orders.
- 90.760 - Good faith reliance.
- 90.770 - Consent to service of process.
- 90.780 - Administrative files and records.
- 90.790 - Administrative proceedings.
- 90.800 - Summary order of Administrator; notice and opportunity for hearing; final order.
- 90.820 - Emergency administrative proceedings.
- ENFORCEMENT AND CIVIL LIABILITY
- 90.615 - Authority of Attorney General and district attorney.
- 90.620 - Investigations and subpoenas.
- 90.630 - Enforcement.
- 90.640 - Power of court to grant relief.
- 90.650 - Criminal penalties.
- 90.660 - Civil liability.
- 90.670 - Statute of limitations.
- 90.680 - Offer of rescission and settlement.
- 90.690 - Burden of proof.
- 90.700 - Liability: General provisions.
- EXEMPTIONS FROM REGISTRATION
- 90.520 - Exempt securities; filing and fee required for exemption.
- 90.530 - Exempt transactions.
- 90.540 - Additional exemptions; fee.
- 90.550 - Revocation of exemptions.
- 90.560 - Filing of sales and advertising literature.
- 90.565 - Filing of notice before initial offering of securities.
- 90.567 - Filing of notice after first sale of securities.
- FRAUDULENT AND OTHER PROHIBITED PRACTICES
- 90.570 - Offer, sale and purchase.
- 90.580 - Manipulation of market.
- 90.590 - Prohibited transactions by investment advisers and representatives of investment advisers.
- 90.600 - Misleading filings.
- 90.605 - Offering false evidence; destroying evidence.
- 90.610 - Unlawful representation concerning licensing, registration or exemption.
- GENERAL PROVISIONS
- 90.211 - Definitions.
- 90.215 - “Administrator” defined.
- 90.220 - “Broker-dealer” defined.
- 90.223 - “Commission” defined.
- 90.225 - “Depository institution” defined.
- 90.230 - “Division” defined.
- 90.235 - “Filing” and “file” defined.
- 90.240 - “Financial or institutional investor” defined.
- 90.245 - “Fraud,” “deceit” and “defraud” defined.
- 90.250 - “Investment adviser” defined.
- 90.255 - “Issuer” defined.
- 90.260 - “Nonissuer transaction” defined.
- 90.265 - “Person” defined.
- 90.270 - “Price amendment” defined.
- 90.275 - “Promoter” defined.
- 90.276 - “Provider of viatical settlements” defined.
- 90.277 - Record” defined. Â
- 90.278 - “Representative of an investment adviser” defined.
- 90.280 - “Sale” and “sell” defined.
- 90.285 - “Sales representative” defined.
- 90.290 - “Securities Act of 1933,” “Securities Exchange Act of 1934,” “Public Utility Holding Company Act of 1935,” “Investment Company Act of 1940,” “Investment Advisers Act of 1940,” “Employees Reti
- 90.292 - “Securities exchange” defined.
- 90.295 - “Security” defined.
- 90.300 - “Self-regulatory organization” defined.
- 90.305 - “State” defined.
- 90.307 - “Transfer agent” defined.
- 90.308 - “Viatical settlement investment” defined.
- LICENSING OF BROKER-DEALERS, SALES REPRESENTATIVES,INVESTMENT ADVISERS, REPRESENTATIVES OF INVESTMENT ADVISERS AND TRANSFER AGENTS
- 90.310 - Licensing of broker-dealers, sales representatives and transfer agents.
- 90.320 - Exempt broker-dealers and sales representatives.
- 90.330 - Licensing of investment advisers and representatives of investment advisers.
- 90.340 - Exempt investment advisers and representatives of investment advisers.
- 90.350 - Application. [Effective until the date of the repeal of the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational
- 90.360 - Licensing fees.
- 90.370 - Examinations: Requirement for licensure; administration; waiver.
- 90.372 - Eligibility of officer or director of issuer for waiver from examination for licensure as sales representative or broker-dealer.
- 90.375 - Application for issuance or renewal of license: Statement regarding obligation of child support required; grounds for denial of license; duty of Administrator. [Effective until the date of th
- 90.380 - Licensing: General provisions. [Effective until the date of the repeal of the federal law requiring each state to establish procedures for withholding, suspending and restricting the professi
- 90.390 - Requirements after licensing.
- 90.400 - Licensing of successor firms.
- 90.410 - Power of inspection.
- 90.415 - Fee for inspection of records.
- 90.420 - Grounds for denial, suspension, revocation, fine or condition.
- 90.430 - Denial, suspension, revocation, fine or condition on grounds of lack of qualification.
- 90.435 - Mandatory suspension of license for failure to pay child support or comply with certain subpoenas or warrants; reinstatement of license. [Effective until the date of the repeal of the federal
- 90.440 - Withdrawal.
- 90.450 - Custody of client’s securities and money.
- MISCELLANEOUS PROVISIONS
- REGISTRATION OF SECURITIES
- 90.460 - Registration requirement.
- 90.465 - Expeditious processing of notice of claim of exemption from registration requirement.
- 90.470 - Registration by filing.
- 90.480 - Registration by coordination.
- 90.490 - Registration by qualification.
- 90.500 - Provisions applicable to registration generally.
- 90.510 - Denial, suspension or revocation of registration.
- REGISTRATION OF SECURITIES EXCHANGES
- 90.453 - Registration required; exemption; regulations; investigation of persons associated with applicant; denial, suspension or revocation.
- 90.4535 - Description of person “associated with” securities exchange or applicant for registration.
- 90.454 - Limitations on trading of security.
- 90.456 - Fee for transactions.