UNIFORM SECURITIES ACT

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UNIFORM SECURITIES ACT(Last Revised or Amended in 2005)drafted by theNATIONAL CONFERENCE OF COMMISSIONERSON UNIFORM STATE LAWSand by itAPPROVED AND RECOMMENDED FOR ENACTMENTIN ALL THE STATESat itsANNUAL CONFERENCEMEETING IN ITS ONE-HUNDRED-AND-ELEVENTH YEARIN TUCSON, ARIZONAJULY 26 - AUGUST 2, 2002WITH PREFATORY NOTE AND COMMENTSApproved by the American Bar AssociationSeattle, Washington, February 10, 2003Copyright 2002ByNATIONAL CONFERENCE OF COMMISSIONERSON UNIFORM STATE LAWSNovember 14, 2008ABOUT NCCUSLThe National Conference of Commissioners on UNIFORM State Laws (NCCUSL), now in its114 year, provides states with non-partisan, well-conceived and well-drafted legislation thatthbrings clarity and stability to critical areas of state statutory members must be lawyers, qualified to practice law. They are practicing lawyers,judges, legislators and legislative staff and law professors, who have been appointed by stategovernments as well as the District of Columbia, Puerto Rico and the Virgin Islands toresearch, draft and promote enactment of UNIFORM state laws in areas of state law whereuniformity is desirable and practical.

DRAFTING COMMITTEE TO REVISE UNIFORM SECURITIES ACT RICHARD B. SMITH, 450 Lexington Ave., New York, NY 10017, Chair JUSTIN L. VIGDOR, 2400 Chase Square, Rochester, NY 14604, Vice Chair

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