Chapter 5. Securities

Index

• § 10-5-1. Short Title
• § 10-5-2. Definitions and Rules of Construction
• § 10-5-3. Registration of Dealers, Salespeople, Investment Advisers, and Investment Adviser Representatives; Surety Bonds Or Deposits; Records
• § 10-5-4. Denial, Suspension, Or Revocation of Registration of Dealer, Salesman, Investment Adviser, Or Investment Adviser Representative; Current Financial Statements
• § 10-5-5. Registration of Securities -- When and How Required; Delivery of Prospectus; Purchasers' Right of Rescission
• § 10-5-6. Registration of Securities -- Provisions Generally Applicable
• § 10-5-7. Registration of Securities -- Denial, Suspension, Or Revocation of Registration
• § 10-5-8. Registration of Securities -- Exempt Securities
• § 10-5-9. Exempt Transactions
• § 10-5-10. Secretary of State Designated Commissioner of Securities; Powers of Commissioner and Employees; Compensation and Expenses; Assistant Commissioner; Public Character of Documents and Information; Cooperation With Other Securities Agencies Or Administrators
• § 10-5-11. Investigations; Subpoenas; Self-Incrimination; Hearings; Cooperation With Other Jurisdictions; Disclosure of Information
• § 10-5-12. Unlawful Practices
• § 10-5-13. Administrative, Civil, and Criminal Actions
• § 10-5-14. Civil Liability From Sales of Securities
• § 10-5-15. Venue of Civil Or Criminal Actions
• § 10-5-16. Notice of Opportunity For Hearing; Conduct of Hearing; Issuance of Orders
• § 10-5-17. Judicial Review of Commissioner's Orders
• § 10-5-18. Consent to Substituted Service of Process Or Pleadings; Manner of Service
• § 10-5-19. Negotiable Obligations, Notes, Or Checks Issued to Purchase Registered Securities
• § 10-5-20. Waiver of Rights Under Chapter Or Rules and Regulations Void
• § 10-5-21. Immunity of Commissioner From Suit
• § 10-5-22. Burden of Proving Exemption; Admissibility of Copies of Records
• § 10-5-23. Application of Law In Effect At Time Cause of Action Arose Or Crime Occurred
• § 10-5-23.1. Registration of Investment Adviser Representatives Prior to Central Registration Depository's Being Operational With Respect to Such Representatives
• § 10-5-24. Criminal Penalties For Violating Chapter; Penalties For Violating Other Laws Not Affected