§ 47-31B-101 Short title
§ 47-31B-102 Definitions
§ 47-31B-103 References to federal statutes
§ 47-31B-104 References to federal agencies
§ 47-31B-105 Electronic records and signatures
§ 47-31B-201 Exempt securities
§ 47-31B-202 Exempt transactions
§ 47-31B-203 Additional exemptions and waivers
§ 47-31B-204 Denial, suspension, revocation, condition, or limitation of exemptions
§ 47-31B-301 Securities registration requirement
§ 47-31B-302 Notice filing
§ 47-31B-303 Securities registration by coordination
§ 47-31B-304 Securities registration by qualification
§ 47-31B-305 Securities registration filings
§ 47-31B-306 Denial, suspension, and revocation of securities registration
§ 47-31B-307 Waiver and modification
§ 47-31B-401 Broker-dealer registration requirement and exemptions
§ 47-31B-402 Agent registration requirement and exemptions
§ 47-31B-403 Investment adviser registration and exemptions
§ 47-31B-404 Investment adviser representative registration requirement and exemptions
§ 47-31B-405 Federal covered investment adviser notice filing requirement
§ 47-31B-406 Registration by broker-dealer, agent, investment adviser, and investmentadviser representative
§ 47-31B-407 Succession and change in registration of broker-dealer or investment advisor
§ 47-31B-408 Termination of employment or association of agent and investment adviserrepresentative–Transfer of employment or association
§ 47-31B-409 Withdrawal of registration of broker-dealer, agent, investment adviser, andinvestment adviser representative
§ 47-31B-410 Filing fees
§ 47-31B-411 Postregistration requirements
§ 47-31B-412 Denial, revocation, suspension, withdrawal, restriction, condition, or limitationof registration
§ 47-31B-501 General fraud
§ 47-31B-502 Prohibited conduct in providing investment advice
§ 47-31B-503 Evidentiary burden
§ 47-31B-504 Filing of sales and advertising literature
§ 47-31B-505 Misleading filings
§ 47-31B-506 Misrepresentations concerning registration or exemption
§ 47-31B-507 Qualified immunity
§ 47-31B-508 Criminal penalties
§ 47-31B-509 Civil liability
§ 47-31B-510 Rescission offers
§ 47-31B-601 Administration
§ 47-31B-602 Investigations and subpoenas
§ 47-31B-603 Civil enforcement
§ 47-31B-604 Administrative enforcement
§ 47-31B-605 Rules, forms, orders, interpretive opinions, and hearings
§ 47-31B-606 Administrative files and opinions
§ 47-31B-607 Public records–Confidentiality
§ 47-31B-608 Uniformity and cooperation with other agencies
§ 47-31B-609 Judicial review
§ 47-31B-610 Jurisdiction
§ 47-31B-611 Service of process
§ 47-31B-612 Severability clause

Terms Used In South Dakota Codified Laws > Title 47 > Chapter 31B - Uniform Securities Act of 2002

  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Attachment: A procedure by which a person's property is seized to pay judgments levied by the court.
  • Bankruptcy: Refers to statutes and judicial proceedings involving persons or businesses that cannot pay their debts and seek the assistance of the court in getting a fresh start. Under the protection of the bankruptcy court, debtors may discharge their debts, perhaps by paying a portion of each debt. Bankruptcy judges preside over these proceedings.
  • Common law: The legal system that originated in England and is now in use in the United States. It is based on judicial decisions rather than legislative action.
  • Contract: A legal written agreement that becomes binding when signed.
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Damages: Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs for their injuries.
  • Defendant: In a civil suit, the person complained against; in a criminal case, the person accused of the crime.
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Federal Reserve System: The central bank of the United States. The Fed, as it is commonly called, regulates the U.S. monetary and financial system. The Federal Reserve System is composed of a central governmental agency in Washington, D.C. (the Board of Governors) and twelve regional Federal Reserve Banks in major cities throughout the United States. Source: OCC
  • Fiduciary: A trustee, executor, or administrator.
  • Fraud: Intentional deception resulting in injury to another.
  • Guarantor: A party who agrees to be responsible for the payment of another party's debts should that party default. Source: OCC
  • Guardian: A person legally empowered and charged with the duty of taking care of and managing the property of another person who because of age, intellect, or health, is incapable of managing his (her) own affairs.
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Litigation: A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called litigants.
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • Person: includes natural persons, partnerships, associations, cooperative corporations, limited liability companies, and corporations. See South Dakota Codified Laws 2-14-2
  • Plaintiff: The person who files the complaint in a civil lawsuit.
  • Property: includes property, real and personal. See South Dakota Codified Laws 2-14-2
  • Public law: A public bill or joint resolution that has passed both chambers and been enacted into law. Public laws have general applicability nationwide.
  • Rescission: The cancellation of budget authority previously provided by Congress. The Impoundment Control Act of 1974 specifies that the President may propose to Congress that funds be rescinded. If both Houses have not approved a rescission proposal (by passing legislation) within 45 days of continuous session, any funds being withheld must be made available for obligation.
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • Seal: includes an impression of the seal upon the paper alone, as well as upon wax or a wafer affixed to the paper, and also the word "seal" written or printed on such paper. See South Dakota Codified Laws 2-14-2
  • Service of process: The service of writs or summonses to the appropriate party.
  • Statute: A law passed by a legislature.
  • Subpoena: A command to a witness to appear and give testimony.
  • Testify: Answer questions in court.
  • Testimony: Evidence presented orally by witnesses during trials or before grand juries.
  • Writ: A formal written command, issued from the court, requiring the performance of a specific act.
  • written: include typewriting and typewritten, printing and printed, except in the case of signatures, and where the words are used by way of contrast to typewriting and printing. See South Dakota Codified Laws 2-14-2