Chapter6. SECURITIES.  


Article 1. General Provisions.
§ 8-6-1. Short title.
§ 8-6-2. Definitions.
§ 8-6-3. Registration and bonds of dealers, agents, investment advisers, etc.
§ 8-6-4. Registration of securities - Required; exceptions.
§ 8-6-5. Registration of securities - Registration by notification.
§ 8-6-6. Registration of securities - Registration of certain securities by coordination.
§ 8-6-7. Registration of securities - Registration by qualification.
§ 8-6-8. Registration of securities - Registration statement; conditions precedent; bond; notice of action; fees; quarterly reports and financial statements; discharge from supervision.
§ 8-6-9. Registration of securities - Denial, suspension and revocation of registration.
§ 8-6-10. Registration of securities - Exempt securities.
§ 8-6-11. Registration of securities - Exempt transactions.
§ 8-6-12. Registration of securities - Applicability of provisions of article; consent to service of process on Secretary of State.
§ 8-6-14. Filing or registration not finding of truth, completeness, etc., of documents; representations concerning effect of registration or exemption.
§ 8-6-15. Investigations and subpoenas by commission.
§ 8-6-16. Administrative cease and desist authority to commission; injunctive relief; appointment of receivers or conservators for defendants or defendants' assets; court ordered rescission, restitution, or disgorgement for violations.
§ 8-6-17. Prohibited acts regarding offer, sale, or purchase of securities.
§ 8-6-18. Criminal penalties for violations of article; enforcement; scienter.
§ 8-6-19. Civil liabilities of sellers, agents, etc.; remedies of purchasers.
§ 8-6-21. Commission authorized to swear out warrants of arrest; liability of commission for warrant.
§ 8-6-22. Duties of director; director empowered to swear out warrants of arrest; liability of director for warrant.
§ 8-6-23. Making, amending, and rescinding rules and prescribing forms by commission.
§ 8-6-24. Liability for acts done or omitted in good faith under rules, forms, or orders.
§ 8-6-25. Hearings to be public; requests for private hearings.
§ 8-6-26. Document deemed filed when received.
§ 8-6-27. Commission to keep register; register to be open for public inspection.
§ 8-6-28. Commission to furnish copies of register entries or documents; certified copy deemed prima facie evidence.
§ 8-6-29. Interpretative opinions by commission.
§ 8-6-30. Burden of proving exemption or exception from definition.
§ 8-6-31. Commission may issue warnings to public and publish information regarding orders.
§ 8-6-32. Party aggrieved by order entitled to hearing before commission; appeals from action of commission.
§ 8-6-33. Disposition of revenue.
Article 2. Securities Commission.
§ 8-6-50. Created; duties generally.
§ 8-6-51. Membership; qualifications and appointment of commissioners; use or disclosure of confidential information by commissioners, employees, etc.; civil liability of commissioners.
§ 8-6-52. Terms of office of appointed members; filling of vacancies; reappointment of members.
§ 8-6-53. Selection of chair; rules for proceedings; meetings; quorum; records and reports; access to offices and records; exercise of powers of director.
§ 8-6-54. Compensation of members.
§ 8-6-55. Director - Appointment; duties generally.
§ 8-6-56. Director - Qualifications; salary; interest in banks, etc., prohibited.
§ 8-6-57. Deputy director.
§ 8-6-58. Personnel.
§ 8-6-59. Bonds of director and employees.
§ 8-6-60. Place of office.
Article 3. Fiduciary Security Transfers.
Article 4. Ownership by Minors.
§ 8-6-90. Short title.
§ 8-6-91. Definitions.
§ 8-6-92. Liability of bank, transfer agent, etc., for treating minor as having capacity to exercise security rights; presumption that holder not minor.
§ 8-6-93. Minor may not disaffirm security transaction unless prior written notice of minority given.
§ 8-6-94. Right of minor to receive dividends, etc.
§ 8-6-95. Certain laws not affected by article.
Article 5. Pre-Issuance Procedure for Industrial Revenue Bonds.
§ 8-6-110. Definitions.
§ 8-6-111. Legislative findings; purpose of article.
§ 8-6-112. Powers of director of Securities Commission.
§ 8-6-113. Powers of Securities Commission.
§ 8-6-115. Notifications of intent to issue bonds.
§ 8-6-116. Action by director upon receipt of notification; stop orders.
§ 8-6-117. Appeals or references to Securities Commission.
§ 8-6-118. Proceedings before Securities Commission.
§ 8-6-119. Judicial validation proceedings.
§ 8-6-120. Certificate of notification; representation that industrial revenue bonds have been approved prohibited.
§ 8-6-121. Criminal penalties.
§ 8-6-122. Article remedial; certain statutes not repealed.
Article 6. Uniform Transfer On Death Security Registration Act.
§ 8-6-140. Definitions.
§ 8-6-141. Registration - Beneficiary form.
§ 8-6-142. Registration - Authorization.
§ 8-6-143. Registration - Designation of a beneficiary.
§ 8-6-144. Registration - Applicable language.
§ 8-6-145. Designation of TOD; registration cancelled or changed.
§ 8-6-146. Death of owner.
§ 8-6-147. Assent of owner; discharge from claims.
§ 8-6-148. Transfer on death.
§ 8-6-149. Terms and conditions of registration.
§ 8-6-150. Short title; construction.
§ 8-6-151. Application.