Part I.  General Provisions


  485A-101 Short title

  485A-102 Definitions

  485A-103 References to federal statutes

  485A-104 References to federal agencies

  485A-105 Electronic records and signatures


         Part II.  Exemptions from Registration of Securities

  485A-201 Exempt securities

  485A-202 Exempt transactions

  485A-203 Additional exemptions and waivers

  485A-204 Denial, suspension, revocation, condition, or

           limitation of exemptions


         Part III.  Registration of Securities and Notice

                    Filing of Federal Covered Securities

  485A-301 Securities registration requirement

  485A-302 Notice filing

  485A-303 Securities registration by qualification

  485A-304 Securities registration filings

  485A-305 Denial, suspension, and revocation of securities


  485A-306 Waiver and modification


         Part IV.  Broker-Dealers, Agents, Investment

                   Advisers, Investment Adviser Representatives,

                   and Federal Covered Investment Advisers

  485A-401 Broker-dealer registration requirement and exemptions

  485A-402 Agent registration requirement and exemptions

  485A-403 Investment adviser registration requirement and


  485A-404 Investment adviser representative registration

           requirement and exemptions

  485A-405 Federal covered investment adviser notice filing


  485A-406 Registration by broker-dealer, agent, investment

           adviser, and investment adviser representative

  485A-407 Succession and change in registration of

           broker-dealer or investment adviser

  485A-408 Termination of employment or association of agent and

           investment adviser representative; transfer of

           employment or association

  485A-409 Withdrawal of registration of broker-dealer, agent,

           investment adviser, and investment adviser


  485A-410 Filing fees

  485A-411 Postregistration requirements

  485A-412 Denial, revocation, suspension, withdrawal,

           restriction, condition, or limitation of registration


         Part V.  Fraud and Liabilities

  485A-501 General fraud

  485A-502 Prohibited conduct in providing investment advice

  485A-503 Evidentiary burden

  485A-504 Filing of sales and advertising literature

  485A-505 Misleading filings

  485A-506 Misrepresentations concerning registration or


  485A-507 Qualified immunity

  485A-508 Criminal penalties

  485A-509 Civil liability

  485A-510 Rescission offers


         Part VI.  Administration and Judicial Review

  485A-601 Commissioner of securities

  485A-602 Investigations and subpoenas

  485A-603 Civil enforcement

485A-603.5 Additional civil penalties for securities violations

           committed against elders

  485A-604 Administrative enforcement

485A-604.5 Additional administrative penalties for securities

           violations committed against elders

  485A-605 Venue

  485A-606 Rules, forms, orders, interpretative opinions, and


  485A-607 Administrative files and opinions

  485A-608 Public records; confidentiality

  485A-609 Appeals to court, first circuit; time; bonds; costs;

           decree; further appeal

  485A-610 Service of process


         Part VII.  Transition

  485A-701 Application of act to existing proceeding and

           existing rights and duties


Cross References


  Investment securities, Uniform Commercial Code, see chapter 490, article 8.

  Uniform transfer-on-death (TOD) security registration act, see chapter 539.


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