Uniform Securities Act
Massachusetts · Uniform Securities Act · §§ 110A-101 to 110A-417 · 31 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.
Sections covered
- Mass. Gen. Laws ch. 110A, § 101Sales and Purchases
- Mass. Gen. Laws ch. 110A, § 102Advisory Activities
- Mass. Gen. Laws ch. 110A, § 201Registration Requirement
- Mass. Gen. Laws ch. 110A, § 202Registration Procedure
- Mass. Gen. Laws ch. 110A, § 203Post–Registration Provisions
- Mass. Gen. Laws ch. 110A, § 203ADocument disclosing material facts
- Mass. Gen. Laws ch. 110A, § 204Denial, Revocation, Suspension, Cancellation, and Withdrawal of Registration
- Mass. Gen. Laws ch. 110A, § 301Registration Requirement
- Mass. Gen. Laws ch. 110A, § 302Registration by Coordination
- Mass. Gen. Laws ch. 110A, § 303Registration by Qualification
- Mass. Gen. Laws ch. 110A, § 304Provisions Applicable to Registration Generally
- Mass. Gen. Laws ch. 110A, § 305Denial, Suspension, and Revocation of Registration
- Mass. Gen. Laws ch. 110A, § 306Federal covered securities
- Mass. Gen. Laws ch. 110A, § 401Definitions
- Mass. Gen. Laws ch. 110A, § 402Exemptions
- Mass. Gen. Laws ch. 110A, § 403Filing of Sales and Advertising Literature
- Mass. Gen. Laws ch. 110A, § 404Misleading Filings
- Mass. Gen. Laws ch. 110A, § 405Unlawful Representations Concerning Registration or Exemption
- Mass. Gen. Laws ch. 110A, § 406Administration of Chapter
- Mass. Gen. Laws ch. 110A, § 407Investigations and Subpoenas
- Mass. Gen. Laws ch. 110A, § 407AViolations; Cease and Desist Orders; Costs
- Mass. Gen. Laws ch. 110A, § 408Injunctions
- Mass. Gen. Laws ch. 110A, § 409Criminal Penalties
- Mass. Gen. Laws ch. 110A, § 410Civil Liabilities
- Mass. Gen. Laws ch. 110A, § 411Judicial Review of Orders
- Mass. Gen. Laws ch. 110A, § 412Rules, Forms, Orders, and Hearings
- Mass. Gen. Laws ch. 110A, § 413Administrative Files and Opinions
- Mass. Gen. Laws ch. 110A, § 414Scope of the Act and Service of Process
- Mass. Gen. Laws ch. 110A, § 415Statutory Policy
- Mass. Gen. Laws ch. 110A, § 416Short Title
- Mass. Gen. Laws ch. 110A, § 417Severability of Provisions
Enacted in other states
Connecticut, Hawaii, Iowa, Idaho, Indiana, New Hampshire, New Mexico, Nevada, South Carolina, South Dakota, Utah, Vermont, West Virginia, Wyoming
All Massachusetts named statutes →
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