Uniform Securities Act

Idaho · Corporations · §§ 30-14-101 to 30-14-703 · 54 sections

Overview

This act governs the offer and sale of securities within a state, establishing a regulatory framework administered by a state securities authority. It defines the securities, transactions, and market participants subject to regulation, and requires broker-dealers, sales representatives, transfer agents, investment advisers, and their representatives to be licensed, with examination requirements, application and fee procedures, and exemptions for certain categories of firms and individuals. It also addresses fraud and deceit in connection with securities transactions, and extends coverage to specialized investment products such as viatical settlements.

Editorial summary generated from the text of this act. It is not part of the statute — read the sections below for the operative language.

In the courts

Sections of this act have been cited in 11 court decisions.

Most-cited authority: 143 Idaho 927 - Mannos v. Moss

Sections covered

Idaho Code § 30-14-101Short title1 cite
Idaho Code § 30-14-102Definitions2 cites
Idaho Code § 30-14-103References to federal statutes
Idaho Code § 30-14-104References to federal agencies
Idaho Code § 30-14-105Electronic records and signatures
Idaho Code § 30-14-201Exempt securities
Idaho Code § 30-14-202Exempt transactions
Idaho Code § 30-14-202.1Fairness hearing. — (a) The administrator is expressly authorized to hold a hearing and consider the fairness of the terms and conditions of a transaction described in section 30-14-202(9), Idaho Code. This section 30-14-202A, Idaho Code, is intended to provide for a fairness hearing before the administrator with respect to transactions which, if approved by the administrator, will be exempt from the registration requirements of the federal securities laws under section 3(a)(10) of the securities act of 1933, or any section comparable thereto which may subsequently be enacted
Idaho Code § 30-14-203Additional exemptions and waivers
Idaho Code § 30-14-204Denial, suspension, revocation, condition or limitation of exemptions
Idaho Code § 30-14-301Securities registration requirement
Idaho Code § 30-14-302Notice filing
Idaho Code § 30-14-303Securities registration by coordination
Idaho Code § 30-14-304Securities registration by qualification
Idaho Code § 30-14-305Securities registration filings
Idaho Code § 30-14-306Denial, suspension, and revocation of securities registration
Idaho Code § 30-14-307Waiver and modification
Idaho Code § 30-14-401Broker-dealer registration requirement and exemptions
Idaho Code § 30-14-402Agent registration requirement and exemptions
Idaho Code § 30-14-403Investment adviser registration requirement and exemptions1 cite
Idaho Code § 30-14-404Investment adviser representative registration requirement and exemptions
Idaho Code § 30-14-405Federal covered investment adviser notice filing requirement
Idaho Code § 30-14-406Registration by broker-dealer, agent, investment adviser, and investment adviser representative
Idaho Code § 30-14-407Succession and change in registration of broker-dealer or investment adviser
Idaho Code § 30-14-408Termination of employment or association of agent and investment adviser representative and transfer of employment or association
Idaho Code § 30-14-409Withdrawal of registration of broker-dealer, agent, investment adviser and investment adviser representative
Idaho Code § 30-14-410Filing fees
Idaho Code § 30-14-411Postregistration requirements
Idaho Code § 30-14-412Denial, revocation, suspension, withdrawal, restriction, condition or limitation of registration. — (a) Disciplinary conditions
Idaho Code § 30-14-501General fraud2 cites
Idaho Code § 30-14-502Prohibited conduct in providing investment advice
Idaho Code § 30-14-503Evidentiary burden
Idaho Code § 30-14-504Filing of sales and advertising literature
Idaho Code § 30-14-505Misleading filings
Idaho Code § 30-14-506Misrepresentations concerning registration or exemption
Idaho Code § 30-14-507Qualified immunity
Idaho Code § 30-14-508Criminal penalties
Idaho Code § 30-14-509Civil liability4 cites
Idaho Code § 30-14-510Rescission offers
Idaho Code § 30-14-601Administration
Idaho Code § 30-14-602Investigations and subpoenas
Idaho Code § 30-14-603Civil enforcement
Idaho Code § 30-14-604Administrative enforcement1 cite
Idaho Code § 30-14-605Rules, forms, orders, interpretative opinions, and hearings
Idaho Code § 30-14-606Administrative files and opinions
Idaho Code § 30-14-607Public records — Confidentiality
Idaho Code § 30-14-608Uniformity and cooperation with other agencies
Idaho Code § 30-14-609Judicial review
Idaho Code § 30-14-610Jurisdiction
Idaho Code § 30-14-611Service of process
Idaho Code § 30-14-612Severability clause
Idaho Code § 30-14-701Effective date
Idaho Code § 30-14-702Repeals
Idaho Code § 30-14-703Application of chapter to existing proceeding and existing rights and duties

Enacted in other states

Connecticut, Hawaii, Iowa, Indiana, Massachusetts, New Hampshire, New Mexico, Nevada, South Carolina, South Dakota, Utah, Vermont, West Virginia, Wyoming

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