ARTICLE 1: DEFINITIONS
SECTION 101 SHORT TITLE
SECTION 102 DEFINITIONS
(1) Administrator
(2) Agent TENTATIVE APPROVAL
(3) Broker-Dealer TENTATIVE APPROVAL
(4) Depository Institution
(5) Federal Covered Investment Adviser TENTATIVE APPROVAL
(6) Federal Covered Security TENTATIVE APPROVAL
(7) Filing REVISED
(8) Fraud TENTATIVE APPROVAL
(9) Guaranteed TENTATIVE APPROVAL
(10) Institutional Investor TENTATIVE APPROVAL, OTHER THAN §101(j)(xii)
(11) Insurance Company TENTATIVE APPROVAL
(12) Insured TENTATIVE APPROVAL
(13) International Bank
(14) Investment Adviser REVISED
(15) Investment Adviser Representative REVISED
(16) Issuer §§101(p)(1), (3) TENTATIVE APPROVAL
(17) Nonissuer Transaction or Nonissuer Distribution TENTATIVE APPROVAL
(18) Person TENTATIVE APPROVAL
(19) Place of Business NEW
(20) Predecessor Act NEW
(21) Principal Place of Business NEW
(22) Price Amendment TENTATIVE APPROVAL
(23) Record NEW
(24) Sale
(25) Securities Act of 1933, etc.
(26) Securities and Exchange Commission NEW
(27) Security TENTATIVE APPROVAL
(28) Self-Regulatory Organization
(29) State TENTATIVE APPROVAL
(30) Underwriter TENTATIVE APPROVAL
ARTICLE 2: EXEMPTIONS
SECTION 201 EXEMPT SECURITIES
(1) United States Governments and Municipals TENTATIVE APPROVAL
(2) Foreign Governments TENTATIVE APPROVAL
(3) Depository Institutions and International Banks
(4) Insurance Companies TENTATIVE APPROVAL
(5) Public Utilities REVISED
(6) Certain Options and Rights TENTATIVE APPROVAL
(7) Nonprofit Organizations REVISED
(8) Cooperatives TENTATIVE APPROVAL
(9) Employee Benefit Plans TENTATIVE APPROVAL
(10) Equipment Trust Certificates REVISED
SECTION 202 EXEMPT TRANSACTIONS
(1) Isolated Nonissuer Transactions TENTATIVE APPROVAL
(2) Specified Nonissuer Transactions TENTATIVE APPROVAL; BUT NOTE NEW QUERY
(3) Foreign Nonissuer Transactions TENTATIVE APPROVAL
(4) Nonissuer Transactions in Securities Subject to REVISED
Securities Exchange Act Reporting
(5) Nonissuer Transactions in Specified Securities with TENTATIVE APPROVAL
Fixed Maturity, Interest or Dividend
(6) Unsolicited Brokerage Transactions TENTATIVE APPROVAL
(7) Pledges TENTATIVE APPROVAL
(8) Underwriter Transactions TENTATIVE APPROVAL
(9) Unit Secured Transactions TENTATIVE APPROVAL
(10) Bankruptcy, Guardian, or Conservator Transactions TENTATIVE APPROVAL
(11) Institutional Investors REVISED
(12) Limited Offering Transactions REVISED
(13) Transactions with Existing Security Holders TENTATIVE APPROVAL
(14) Offerings When Registered under this [Act] and the TENTATIVE APPROVAL
Securities Act of 1933
(15) Offerings When Registered under this [Act] and
Exempt from the Securities Act of 1933
(16) Control Transactions TENTATIVE APPROVAL
SECTION 203 ADDITIONAL EXEMPTIONS AND TENTATIVE APPROVAL
WAIVERS
SECTION 204 DENIAL, CONDITION, LIMITATION, TENTATIVE APPROVAL
OR REVOCATION OF EXEMPTIONS (BUT REVIEW LAST TWO SENTENCES AFTER CONSIDERATION OF §603)
ARTICLE 3: REGISTRATION OF SECURITIES
AND NOTICE FILINGS OF FEDERAL COVERED SECURITIES
SECTION 301 SECURITIES REGISTRATION TENTATIVE APPROVAL
REQUIREMENT
SECTION 302 NOTICE FILINGS AND FEES §§302(a), (c), (d)
APPLICABLE TO FEDERAL COVERED SECURITIES TENTATIVE APPROVAL
SECTION 303 SECURITIES REGISTRATION BY TENTATIVE APPROVAL
COORDINATION
SECTION 304 SECURITIES REGISTRATION BY §§304(a), (c)-(e)
QUALIFICATION TENTATIVE APPROVAL
SECTION 305 GENERAL SECURITIES §§305(a)-(f), (h)-(k)
REGISTRATION TENTATIVE APPROVAL
SECTION 306 DENIAL, SUSPENSION, AND §§306(a)(1)-(6), (b), (e)
REVOCATION OF SECURITIES REGISTRATION TENTATIVE APPROVAL
ARTICLE 4: BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, FEDERAL COVERED INVESTMENT ADVISERS, AND INVESTMENT ADVISER REPRESENTATIVES OF FEDERAL COVERED INVESTMENT ADVISERS
SECTION 401 BROKER-DEALER REGISTRATION REVISED
REQUIREMENT AND EXEMPTIONS
SECTION 402 AGENT REGISTRATION REQUIREMENT REVISED
AND EXEMPTIONS
SECTION 403 INVESTMENT ADVISER REGISTRATION REVISED
REQUIREMENT AND EXEMPTIONS
SECTION 404 INVESTMENT ADVISER REPRESENTATIVE REVISED
REGISTRATION REQUIREMENT AND EXEMPTIONS
SECTION 405 FEDERAL COVERED INVESTMENT REVISED
ADVISER NOTICE FILING REQUIREMENT
SECTION 406 REGISTRATION PROCEDURES FOR REVISED
BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS,
AND INVESTMENT ADVISER REPRESENTATIVES
SECTION 407 POSTREGISTRATION REVISED
SECTION 408 DENIAL, REVOCATION, TENTATIVE APPROVAL
SUSPENSION, WITHDRAWAL, CANCELLATION, §§408(a)-(f). SECTION
RESTRICTION, CONDITION, OR LIMITATION OF 408(g) IS NEW.
REGISTRATION
ARTICLE 5: FRAUD AND LIABILITIES
SECTION 501 GENERAL FRAUD TENTATIVE APPROVAL
SECTION 502 FRAUD IN PROVIDING INVESTMENT REVISED
ADVICE
SECTION 503 BURDEN OF PERSUASION
SECTION 504 FILING OF SALES AND ADVERTISING
LITERATURE
SECTION 505 MISLEADING FILINGS
SECTION 506 MISREPRESENTATIONS CONCERNING
REGISTRATION OR EXEMPTION
SECTION 507 QUALIFIED IMMUNITY
SECTION 508 CRIMINAL PENALTIES
SECTION 509 CIVIL LIABILITIES REVISED
SECTION 510 JURISDICTION AND SERVICE OF PROCESS
ARTICLE 6: ADMINISTRATION AND JUDICIAL REVIEW
SECTION 601 ADMINISTRATION OF ACT
SECTION 602 INVESTIGATIONS AND SUBPOENAS
SECTION 603 ENFORCEMENT
SECTION 604 RULES, FORMS, ORDERS, AND HEARINGS
SECTION 605 ADMINISTRATIVE FILES AND OPINIONS
SECTION 606 PUBLIC INFORMATION; CONFIDENTIALITY
SECTION 607 COOPERATION WITH OTHER AGENCIES
SECTION 608 JUDICIAL REVIEW
ARTICLE 7: MISCELLANEOUS
SECTION 701 UNIFORMITY OF APPLICATION AND
CONSTRUCTION
SECTION 702 ELECTRONIC SIGNATURES IN GLOBAL
AND NATIONAL COMMERCE ACT
SECTION 703 SEVERABILITY CLAUSE
SECTION 704 REPEALS
SECTION 705 APPLICATION TO EXISTING
RELATIONSHIPS
SECTION 706 EFFECTIVE DATE