Uniform Securities Act

Overview

Sections covered

• NRS 90.211Definitions
• NRS 90.215“Administrator” defined
• NRS 90.220“Broker-dealer” defined
• NRS 90.223“Commission” defined
• NRS 90.225“Depository institution” defined
• NRS 90.230“Division” defined
• NRS 90.235“Filing” and “file” defined
• NRS 90.240“Financial or institutional investor” defined
• NRS 90.245“Fraud,” “deceit” and “defraud” defined1 cite
• NRS 90.250“Investment adviser” defined
• NRS 90.253“Investment Adviser Registration Depository” defined
• NRS 90.255“Issuer” defined
• NRS 90.257“Nevada certified investor” defined
• NRS 90.260“Nonissuer transaction” defined
• NRS 90.265“Person” defined
• NRS 90.270“Price amendment” defined
• NRS 90.275“Promoter” defined
• NRS 90.276“Provider of viatical settlements” defined
• NRS 90.2775“Qualifying private fund” defined
• NRS 90.278“Representative of an investment adviser” defined
• NRS 90.280“Sale” and “sell” defined3 cites
• NRS 90.285“Sales representative” defined
• NRS 90.290“Securities Act of 1933,” “Securities Exchange Act of 1934,” “Public Utility Holding Company Act of 1935,” “Investment Company Act of 1940,” “Investment Advisers Act of 1940,” “Employees Retirement Income Security Act of 1974,” “National Housing Act” and “Commodity Exchange Act” defined
• NRS 90.292“Securities exchange” defined
• NRS 90.295“Security” defined1 cite
• NRS 90.300“Self-regulatory organization” defined
• NRS 90.305“State” defined
• NRS 90.307“Transfer agent” defined
• NRS 90.308“Viatical settlement investment” defined
• NRS 90.309“Viator” defined
• NRS 90.310Licensing of broker-dealers, sales representatives and transfer agents1 cite
• NRS 90.320Exempt broker-dealers and sales representatives
• NRS 90.330Licensing of investment advisers and representatives of investment advisers
• NRS 90.340Exempt investment advisers and representatives of investment advisers
• NRS 90.345Investment advisers to certain private funds exempt from licensing
• NRS 90.350Application. [Effective until the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]
• NRS 90.360Licensing fees
• NRS 90.370Examinations: Requirement for licensure; administration; waiver
• NRS 90.372Eligibility of officer or director of issuer for waiver from examination for licensure as sales representative or broker-dealer
• NRS 90.375Application for issuance or renewal of license: Statement regarding obligation of child support required; grounds for denial of license; duty of Administrator. [Effective until the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]
• NRS 90.377Application for renewal of license to include information relating to state business license; denial of renewal for unpaid debt assigned to State Controller for collection
• NRS 90.380Licensing: General provisions. [Effective until the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]
• NRS 90.390Requirements after licensing
• NRS 90.400Licensing of successor firms
• NRS 90.410Power of inspection
• NRS 90.415Fee for inspection of records
• NRS 90.420Grounds for denial, suspension, revocation, fine or condition1 cite
• NRS 90.425Unethical or dishonest practices: Use of certain certifications and professional designations
• NRS 90.430Denial, suspension, revocation, fine or condition on grounds of lack of qualification
• NRS 90.435Mandatory suspension of license for failure to pay child support or comply with certain subpoenas or warrants; reinstatement of license. [Effective until the date of the repeal of 42 U.S.C. § 666, the federal law requiring each state to establish procedures for withholding, suspending and restricting the professional, occupational and recreational licenses for child support arrearages and for noncompliance with certain processes relating to paternity or child support proceedings.]
• NRS 90.440Withdrawal
• NRS 90.450Custody of client’s securities and money
• NRS 90.453Registration required; exemption; regulations; investigation of persons associated with applicant; denial, suspension or revocation
• NRS 90.4535Description of person “associated with” securities exchange or applicant for registration
• NRS 90.454Limitations on trading of security
• NRS 90.456Fee for transactions
• NRS 90.457Use of unregistered exchange by broker-dealer or representative prohibited
• NRS 90.460Registration requirement3 cites
• NRS 90.465Expeditious processing of notice of claim of exemption from registration requirement
• NRS 90.470Registration by filing
• NRS 90.480Registration by coordination
• NRS 90.490Registration by qualification
• NRS 90.500Provisions applicable to registration generally
• NRS 90.510Denial, suspension or revocation of registration
• NRS 90.520Exempt securities; filing and fee required for exemption
• NRS 90.530Exempt transactions2 cites
• NRS 90.533Additional requirements for certain transactions
• NRS 90.540Additional exemptions; fee
• NRS 90.550Revocation of exemptions
• NRS 90.560Filing of sales and advertising literature
• NRS 90.565Filing of notice before initial offering of securities
• NRS 90.567Filing of notice after first sale of securities
• NRS 90.570Offer, sale and purchase13 cites
• NRS 90.575Fiduciary duty of broker-dealers, sales representatives, investment advisers and representatives of investment advisers; regulations
• NRS 90.580Manipulation of market5 cites
• NRS 90.590Prohibited transactions by investment advisers and representatives of investment advisers
• NRS 90.600Misleading filings
• NRS 90.605False or fraudulent representations in investigations, proceedings or prosecutions; offering false evidence; destroying evidence1 cite
• NRS 90.610Unlawful representation concerning licensing, registration or exemption
• NRS 90.611Definitions
• NRS 90.6115“Designated reporter” defined
• NRS 90.612“Exploitation” defined
• NRS 90.6125“Older person” defined
• NRS 90.613“Reasonable cause to believe” defined
• NRS 90.6135“Vulnerable person” defined
• NRS 90.614Duty of broker-dealers and investment advisers to provide training; reporting to designated reporter
• NRS 90.6145Designated reporter: Designation; duty to report; immunity
• NRS 90.615Authority of Attorney General and district attorney1 cite
• NRS 90.620Investigations and subpoenas1 cite
• NRS 90.630Enforcement1 cite
• NRS 90.640Power of court to grant relief1 cite
• NRS 90.650Criminal penalties1 cite
• NRS 90.660Civil liability6 cites
• NRS 90.670Statute of limitations5 cites
• NRS 90.680Offer of rescission and settlement
• NRS 90.690Burden of proof1 cite
• NRS 90.700Liability: General provisions
• NRS 90.701“Fund” defined
• NRS 90.703Application; review; appeal; confidentiality
• NRS 90.705Creation of Fund; disbursement; preparation of quarterly estimates; interest and income; deposits; nonreversion
• NRS 90.707Acceptance of award of compensation from Fund
• NRS 90.708Regulations
• NRS 90.709Biennial report of Administrator
• NRS 90.710Administration of chapter
• NRS 90.715Strict interpretation of provisions; waiver of enforcement; no-action letter; fee
• NRS 90.720Prohibitions on use of information
• NRS 90.730Public information and confidentiality1 cite
• NRS 90.740Cooperation with other agencies
• NRS 90.750Regulations, forms and orders1 cite
• NRS 90.755Authority to adopt regulations and orders consistent with federal Jumpstart Our Business Startups Act
• NRS 90.760Good faith reliance
• NRS 90.770Consent to service of process
• NRS 90.780Administrative files and records
• NRS 90.785Biennial report of Administrator
• NRS 90.790Administrative proceedings
• NRS 90.800Summary order of Administrator; notice and opportunity for hearing; final order
• NRS 90.820Emergency administrative proceedings
• NRS 90.830Scope of chapter
• NRS 90.840Contract provisions
• NRS 90.845Payment of fees by electronic transfer
• NRS 90.847Electronic delivery of records and applications
• NRS 90.860Short title; uniformity of application and construction2 cites