Business and Finance

Uniform Securities Act of 2002: Law and Explanation

AREA: US

Price 13,800yen (14,490yen included tax)

Pub. April 2003

Uniform Securities Act of 2002: Law and Explanation

This compact, stand-alone reference provides detailed explanation and analysis of the Uniform Securities Act of 2002, recently promulgated by the National Conference of Commissioners on Uniform State Laws (NCCUSL). It contains full-text provisions of the new Act, along with NCCUSL Official Commentary.

Uniform Securities Act of 2002: Law and Explanation is the most comprehensive single-volume text on the Uniform Securities Act ever published. It features insightful comparisons with previous Uniform Acts and highlights of key differences. Full-text coverage of those prior Acts and NCCUSL Official Commentary are provided. Prior Act amendments, rules and comments from the North American Securities Administrators Association, Inc. (NASAA) are also provided.

It's a must-have resource for every securities practitioner, particularly those working in the area of Blue Sky law. Compliance officers will also find this text beneficial because of important new broker-dealer, agent, investment advisor and investment advisor representative provisions. And finally, persons training for the Uniform Securities Agent State Law Examination (Series 63) will find this text to be an invaluable study aid.

Contents Includes

Part 1: Explanation

  • Chapter 1: General Provisions
  • Chapter 2: Exemptions from Registration of Securities
  • Chapter 3: Registration of Securities and Notice Filings
  • Chapter 4: Broker-Dealer, Agent, IA, IAR and Federal Covered Advisers
  • Chapter 5: Fraud and Liabilities
  • Chapter 6: Administration and Judicial Review
  • Chapter 7: Transition

Part 2: The Uniform Securities Act of 2002 (Full Text, Official Commentary, NASAA Amendments, Rules and Comments)

  • Appendix I: The Uniform Securities Act of 1956 (Full Text and Official Commentary)
  • Appendix II: The Uniform Securities Act of 1985 (Full Text and Official Commentary)