Section 409.3-306 – Denial, suspension, and revocation of securities registration.
Effective – 01 Sep 2003 409.3-306. Denial, suspension, and revocation of securities registration. — (a) The commissioner may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, a registration statement if the commissioner finds that the order is in the public interest and that: (1) The registration statement as of […]
Section 409.3-307 – Waiver and modification.
Effective – 01 Sep 2003 409.3-307. Waiver and modification. — The commissioner may waive or modify, in whole or in part, any or all of the requirements of sections 409.3-302, 409.3-303, and 409.3-304(b) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to section 409.3-305(i). […]
Section 409.1-103 – References to federal statutes.
Effective – 01 Sep 2003 409.1-103. 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 […]
Section 409.1-104 – References to federal agencies.
Effective – 01 Sep 2003 409.1-104. References to federal agencies. — A reference in this act to an agency or department of the United States is also a reference to a successor agency or department. ——– (L. 2003 H.B. 380) Effective 9-01-03
Section 409.1-105 – Electronic records and signatures.
Effective – 01 Sep 2003 409.1-105. Electronic records and signatures. — This act 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 […]
Section 409.2-201 – Exempt securities.
Effective – 01 Sep 2003 409.2-201. Exempt securities. — The following securities are exempt from the requirements of sections 409.3-301 to 409.3-306 and 409.5-504: (1) A security, including a revenue obligation or a separate security as defined in Rule 131 (17 C.F.R. 230.131 ) adopted under the Securities Act of 1933, issued, insured, or guaranteed […]
Section 409.2-202 – Exempt transactions.
Effective – 28 Aug 2005 409.2-202. Exempt transactions. — The following transactions are exempt from the requirements of sections 409.3-301 to 409.3-306 and 409.5-504: (1) An isolated nonissuer transaction, whether effected by or through a broker-dealer or not; (2) A nonissuer transaction by or through a broker-dealer registered, or exempt from registration under this act, […]
Section 409.2-203 – Additional exemptions and waivers.
Effective – 01 Sep 2003 409.2-203. Additional exemptions and waivers. — A rule adopted or order issued under this act may exempt a security, transaction, or offer; a rule under this act may exempt a class of securities, transactions, or offers from any or all of the requirements of sections 409.3-301 to 409.3-306 and 409.5-504; […]
Section 409.2-204 – Denial, suspension, revocation, condition, or limitation of exemptions.
Effective – 01 Sep 2003 409.2-204. Denial, suspension, revocation, condition, or limitation of exemptions. — (a) Except with respect to a federal covered security or a transaction involving a federal covered security, an order under this act may deny, suspend application of, condition, limit, or revoke an exemption created under section 409.2-201(3)(C), (7) or (8) […]
Section 409.3-301 – Securities registration requirement.
Effective – 01 Sep 2003 409.3-301. Securities registration requirement. — It is unlawful for a person to offer or sell a security in this state unless: (1) The security is a federal covered security; (2) The security, transaction, or offer is exempted from registration under sections 409.2-201 to 409.2-203; or (3) The security is registered […]