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


     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



         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


        Part VIII.  Protection of Elders and Vulnerable Adults

                    from Financial Exploitation

     485A-801 Definitions

     485A-802 Governmental disclosures

     485A-803 Immunity for governmental disclosures

     485A-804 Third-party disclosures

     485A-805 Immunity for third-party disclosures

     485A-806 Delaying disbursements or transactions

     485A-807 Immunity for delaying disbursements or


     485A-808 Records

     485A-809 Multiple duties to report


Cross References


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

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