UNIFORM SECURITIES ACT

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, 2002 WITH PREFATORY NOTE AND COMMENTSA pproved by the American Bar AssociationSeattle, Washington, February 10, 2003 Copyright 2002 ByNATIONAL CONFERENCE OF COMMISSIONERSON UNIFORM STATE LAWSN ovember 14, 2008 ABOUT 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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