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| § 1 |
Short title |
| § 2 |
Definitions |
| § 2.1 |
Security |
| § 2.2 |
“Issuer” means every person who shall have issued or proposes to … |
| § 2.3 |
“Person” means an individual, a corporation, a partnership, an … |
| § 2.4 |
“Controlling person” means any person offering or selling a security, … |
| § 2.5 |
“Sale” or “sell” shall have the full meaning of that term as applied … |
| § 2.5a |
Offer |
| § 2.6 |
“Underwriter” means any person who has purchased a security from an … |
| § 2.7 |
“Dealer” means any person, other than a salesperson, or controlling … |
| § 2.8 |
“Registered dealer” means a dealer registered under Section 8 of this … |
| § 2.8a |
“Principal of a dealer” means any officer, director, partner, member, … |
| § 2.9 |
“Salesperson” means an individual, other than an issuer or a dealer, … |
| § 2.10 |
“Registered salesperson” means a salesperson registered under Section … |
| § 2.11 |
Investment adviser |
| § 2.12 |
“Registered investment adviser” means an investment adviser … |
| § 2.12a |
“Principal of an investment adviser” means any officer, director, … |
| § 2.12b |
Investment adviser representative |
| § 2.12c |
Registered investment adviser representative |
| § 2.13 |
“Effective date” when used with respect to a registration under the … |
| § 2.14 |
“Face amount certificate contract” means any form of “face amount … |
| § 2.15 |
“Investment fund shares” means securities issued by persons known as … |
| § 2.16 |
“Securities Director” means the chief administrator of the Securities … |
| § 2.17 |
“Federal 1933 Act” means the Act of the Congress of the United States … |
| § 2.17a |
“Federal 1934 Act” means the Act of Congress of the United States … |
| § 2.17b |
Federal 1974 Act |
| § 2.17c |
“Federal Bankruptcy Code” means the Act of Congress of the United … |
| § 2.17d |
“Federal 1940 Investment Company Act” means the Act of Congress of … |
| § 2.17e |
“Federal 1940 Investment Advisers Act” means the Act of Congress of … |
| § 2.17f |
Federal 1996 Act |
| § 2.18 |
“Clearing corporation” means a clearing corporation as defined in … |
| § 2.24 |
“State” means any state, territory, or possession of the United … |
| § 2.25 |
“Federal ERISA Act” means the Act of Congress of the United States … |
| § 2.26 |
Mineral investment contract |
| § 2.27 |
Mineral deferred delivery contract |
| § 2.28 |
Securities exchange |
| § 2.29 |
Covered security |
| § 2.30 |
Federal covered investment adviser |
| § 2.31 |
Limited Canadian salesperson |
| § 2.32 |
Limited Canadian dealer |
| § 2.33 |
Viatical investment |
| § 2.34 |
Accredited investor |
| § 2.35 |
Qualified escrowee |
| § 2.36 |
Registered Internet portal |
| § 2a |
Notification filing requirements of issuers of any covered security … |
| § 3 |
The provisions of Sections 2a, 5, 6 and 7 of this Act shall not apply … |
| § 3.5 |
Authority of Secretary of State |
| § 4 |
Exempt transactions |
| § 5 |
Registration of Securities |
| § 6 |
Registration of Face Amount Certificate Contracts |
| § 7 |
Registration of Investment Fund Shares |
| § 7a |
(a) Except as provided in subsection (b) of this Section, no … |
| § 8 |
Registration of dealers, limited Canadian dealers, Internet portals, … |
| § 8a |
Advertisement and sale of certain investments |
| § 8b |
Telephone solicitation |
| § 8c |
Non-English language transactions |
| § 8d |
Offerings made through registered Internet portals |
| § 9 |
Advertising |
| § 10 |
Service of process |
| § 11 |
Duties and powers of the Secretary of State |
| § 11.5 |
Securities exchange registration |
| § 11a |
Fees |
| § 11b |
Special funds |
| § 11c |
Securities Audit and Enforcement Fund |
| § 12 |
Violation |
| § 13 |
Private and other civil remedies; securities |
| § 14 |
Sentence |
| § 15 |
Evidentiary matters |
| § 15a |
Issuance of Non-Binding Statements |
| § 16 |
Saving clauses |
| § 17 |
Separability of provisions |
| § 18 |
Repeal |
| § 19 |
Effective date |
