§ 601. Short title

This chapter may be cited as the “Uniform Securities Act.”

§ 602. Definitions

In this chapter, unless the context otherwise requires: (1) “Administrator” means the Lieutenant Governor or his designee. (2) “Agent” means an individual, other than a broker-dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or represents an issuer in effecting or attempting to effect purchases or sales of […]

§ 603. References to federal statutes

“Securities Act of 1933” (15 U.S.C. Section 77a et seq.), “Securities Exchange Act of 1934” (15 U.S.C. Section 78a et seq.), “Public Utility Holding Company Act of 1935” (15 U.S.C. Section 79 et seq.), “Investment Company Act of 1940” (15 U.S.C. Section 80a-1 et seq.), “Investment Advisers Act of 1940” (15 U.S.C. Section 67b-1 et […]

§ 604. References to federal agencies

Any reference in this chapter to an agency or department of the United States shall also be deemed to be a reference to its successor agency, department, or entity.

§ 605. Electronic records and signatures

This chapter modifies, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, but does not modify, limit, or supersede Section 101(c) of that act (15 U.S.C. Section 7001(c)) or authorize electronic delivery of any of the notices described in Section 103(b) of that act (15 U.S.C. Section 7003(b)). This chapter authorizes […]