reglab/housing_qa huggingface dataset:
SD Codified L § 47-30-7 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 30 - Corporate Frauds And Mismanagement|Section 47-30-7 - Refusal to permit stockholder access to books--Misdemeanor.

47-30-7. Refusal to permit stockholder access to books--Misdemeanor.Any officer or agent of a corporation having or keeping an office within this state, who has in his custody or control any book, paper, or document of the corporation, and who refuses to give to a stockholder or member of the corporation, lawfully demanding, during office hours, to inspect or take a copy of the same, or any part thereof, a reasonable opportunity so to do, is guilty of a Class 2 misdemeanor. Source: SDC 1939, §13.4313; SL 1983, ch 15, §52.
SD Codified L § 47-30-8 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 30 - Corporate Frauds And Mismanagement|Section 47-30-8 - Unauthorized use of another's name in corporate publications--Misdemeanor.

47-30-8. Unauthorized use of another's name in corporate publications--Misdemeanor.Any person who, without being authorized so to do, subscribes the name of another to, or inserts the name of another in, a prospectus, circular, or other advertisement or announcement of a corporation or joint stock association, existing or intended to be formed, with intent to permit it to be published, and thereby to lead persons to believe that the person whose name is so subscribed is an officer, agent, member, or promoter of the corporation or association, is guilty of a Class 2 misdemeanor. Source: SDC 1939, §13.4310; SL 1983, ch 15, §53.
SD Codified L § 47-30-9 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 30 - Corporate Frauds And Mismanagement|Section 47-30-9 - Participation in false report or refusing to make report as misdemeanor.

47-30-9. Participation in false report or refusing to make report as misdemeanor.Except as otherwise specially provided, any director, officer, or agent of a corporation who knowingly concurs in making or publishing a written report, exhibit, or statement of its affairs or pecuniary condition, containing a material statement which is false, or who intentionally refuses or neglects to make or deliver a written report, exhibit, or statement required by law, is guilty of a Class 2 misdemeanor. Source: SDC 1939, §13.4309; SL 1983, ch 15, §54.
SD Codified L § 47-30-10 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 30 - Corporate Frauds And Mismanagement|Section 47-30-10 - Director's liability for failure to perform duties--Misdemeanor.

47-30-10. Director's liability for failure to perform duties--Misdemeanor.Any director of a corporation who intentionally does an act, as director, which is expressly forbidden by law, or intentionally omits to perform a duty expressly imposed upon him as director, by law, the punishment for which act or omission is not otherwise prescribed, is guilty of a Class 2 misdemeanor. Source: SDC 1939, §13.4315; SL 1983, ch 15, §55.
SD Codified L § 47-30-11 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 30 - Corporate Frauds And Mismanagement|Section 47-30-11 - Director deemed to possess knowledge.

47-30-11. Director deemed to possess knowledge.Every director of a corporation is deemed to possess such a knowledge of the affairs of his corporation as to enable him to determine whether any act, proceeding, or omission of its directors, is a violation of this chapter. Source: SDC 1939, §13.4316.
SD Codified L § 47-30-12 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 30 - Corporate Frauds And Mismanagement|Section 47-30-12 - Presence of director at meeting as concurrence--Written dissent--Procedure.

47-30-12. Presence of director at meeting as concurrence--Written dissent--Procedure.Every director of a corporation, who is present at a meeting of the directors at which any act, proceeding, or omission of such directors in violation of this chapter occurs, is deemed to have concurred therein, unless he at the time causes, or in writing requires, his dissent therefrom to be entered in the minutes of the directors, or if absent from such meeting and the record of such violation appears on the record or minutes of the board of directors and he remains a director for six months thereafter without causing, or in writing requiring his dissent from such violation to be entered in the minutes of the directors. Source: SDC 1939, §13.4316.
SD Codified L § 47-30-13 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 30 - Corporate Frauds And Mismanagement|Section 47-30-13 - Definition of director.

47-30-13. Definition of director.The term "director," as used in this chapter, embraces any of the persons having by law the direction or management of the affairs of a corporation, by whatever name such persons are described in its charter, or known by law. Source: SDC 1939, §13.4316.
SD Codified L § 47-30-14 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 30 - Corporate Frauds And Mismanagement|Section 47-30-14 - Foreign incorporation no defense.

47-30-14. Foreign incorporation no defense.It is no defense to a prosecution for a violation of the provisions of this chapter that the corporation was one created by the laws of another state, government, or country, if it was one carrying on business, or keeping an officer therefor, within this state. Source: SDC 1939, §13.4305.
SD Codified L § 47-31B-101 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-101 - Short title.

47-31B-101. Short title.This chapter may be cited as the Uniform Securities Act of 2002. Source: SL 2004, ch 278, §1.
SD Codified L § 47-31B-103 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-103 - References to federal statutes.

47-31B-103.References to federal statutes.Securities Act of 1933 (15 U.S.C. §77a et seq.), Securities Exchange Act of 1934 (15 U.S.C. §78a et seq.), Public Utility Holding Company Act of 1935 (15 U.S.C. §79 et seq.), Investment Company Act of 1940 (15 U.S. C. §80a-1 et seq.), Investment Advisers Act of 1940 (15 U.S.C. §80b-1 et seq.), Employee Retirement Income Security Act of 1974 (29 U.S.C. §1001 et seq.), National Housing Act (12 U.S.C. §1701 et seq.), Commodity Exchange Act (7 U.S.C. §1 et seq.), Internal Revenue Code (26 U.S.C. §1 et seq. ), Securities Investor Protection Act of 1970 (15 U.S.C. §78aaa et seq.), Securities Litigation Uniform Standards Act of 1998 (112 Stat. 3227), Small Business Investment Act of 1958 (15 U.S.C. §661 et seq.), and Electronic Signatures in Global and National Commerce Act (15 U.S.C. §7001 et seq.) mean those statutes and the rules and regulations adopted under those statutes, as in effect July 1, 2004, or as later amended. Source: SL 2004, ch 278, §3.
SD Codified L § 47-31B-104 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-104 - References to federal agencies.

47-31B-104. References to federal agencies.A reference in this chapter to an agency or department of the United States is also a reference to a successor agency or department. Source: SL 2004, ch 278, §4.
SD Codified L § 47-31B-105 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-105 - Electronic records and signatures.

47-31B-105.Electronic records and signatures.This chapter modifies, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, but does not modify, limit, or supersede Section 101(c) of that act (15 U.S.C. §7001(c)) or authorize electronic delivery of any of the notices described in Section 103(b) of that act (15 U.S.C. §7003(b)). This chapter authorizes the filing of records and signatures, when specified by provisions of this chapter or by a rule adopted or order issued under this chapter, in a manner consistent with Section 104(a) of that act (15 U.S. C. §7004(a)). Source: SL 2004, ch 278, §5.
SD Codified L § 47-31B-203 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-203 - Additional exemptions and waivers.

47-31B-203. Additional exemptions and waivers.A rule adopted or order issued under this chapter may exempt a security, transaction, or offer; a rule under this chapter may exempt a class of securities, transactions, or offers from any or all of the requirements of §§47-31B-301 through 47-31B-306 and 47-31B-504; and an order under this chapter may waive, in whole or in part, any or all of the conditions for an exemption or offer under §§47-31B-201 and 47-31B-202. A filing required by rules adopted pursuant to this section shall include a fee of two hundred dollars, unless a fee is otherwise identified in this chapter. Source: SL 2004, ch 278, §8.
SD Codified L § 47-31B-204 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-204 - Denial, suspension, revocation, condition, or limitation of exemptions.

47-31B-204. Denial, suspension, revocation, condition, or limitation of exemptions.(a) Enforcement related powers. Except with respect to a federal covered security or a transaction involving a federal covered security, an order under this chapter may deny, suspend application of, condition, limit, or revoke an exemption created under §47-31B-201(3)(C), (7), or (8) or 47-31B-202 or an exemption or waiver created under §47-31B-203 with respect to a specific security, transaction, or offer. An order under this section may be issued only pursuant to the procedures in §47-31B-306(d) or 47-31B-604 and only prospectively.(b) Knowledge of order required. A person does not violate §47-31B-301, 47-31B-303 through 47-31B-306, 47-31B-504, or 47-31B-510 by an offer to sell, offer to purchase, sale, or purchase effected after the entry of an order issued under this section if the person did not know, and in the exercise of reasonable care could not have known, of the order. Source: SL 2004, ch 278, §9.
SD Codified L § 47-31B-301 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-301 - Securities registration requirement.

47-31B-301. Securities registration requirement.It is unlawful for a person to offer or sell a security in this state unless:(1)The security is a federal covered security;(2)The security, transaction, or offer is exempted from registration under §§47-31B-201 through 47-31B-203; or(3)The security is registered under this chapter. Source: SL 2004, ch 278, §10.
SD Codified L § 47-31B-307 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-307 - Waiver and modification.

47-31B-307. Waiver and modification.The director may waive or modify, in whole or in part, any or all of the requirements of §§47-31B-302, 47-31B-303, and 47-31B-304(b) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to §47-31B-305(h). Source: SL 2004, ch 278, §16.
SD Codified L § 47-31B-403 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-403 - Investment adviser registration and exemptions.

47-31B-403. Investment adviser registration and exemptions.(a) Registration requirement. It is unlawful for a person to transact business in this state as an investment adviser unless the person is registered under this chapter as an investment adviser or is exempt from registration as an investment adviser under subsection (b).(b) Exemptions from registration. The following persons are exempt from the registration requirement of subsection (a):(1)A person without a place of business in this state that is registered under the securities act of the state in which the person has its principal place of business if its only clients in this state are:(A)Federal covered investment advisers, investment advisers registered under this chapter, or broker-dealers registered under this chapter;(B)Institutional investors;(C)Bona fide preexisting clients whose principal places of residence are not in this state if the investment adviser is registered under the securities act of the state in which the clients maintain principal places of residence; or(D)Any other client exempted by rule adopted or order issued under this chapter;(2)A person without a place of business in this state if the person has had, during the preceding twelve months, not more than five clients that are resident in this state in addition to those specified under paragraph (1); or(3)Any other person exempted by rule adopted or order issued under this chapter.(c) Limits on employment or association. It is unlawful for an investment adviser, directly or indirectly, to employ or associate with an individual to engage in an activity related to investment advice in this state if the registration of the individual is suspended or revoked or the individual is barred from employment or association with an investment adviser, federal covered investment adviser, or broker-dealer by an order under this chapter, the Securities and Exchange Commission, or a self-regulatory organization, unless the investment adviser did not know, and in the exercise of reasonable care could not have known, of the suspension, revocation, or bar. Upon request from the investment adviser and for good cause, the director, by order, may waive, in whole or in part, the application of the prohibitions of this subsection to the investment adviser.(d) Investment adviser representative registration required. It is unlawful for an investment adviser to employ or associate with an individual required to be registered under this chapter as an investment adviser representative who transacts business in this state on behalf of the investment adviser unless the individual is registered under §47-31B-404(a) or is exempt from registration under §47-31B-404(b). Source: SL 2004, ch 278, §19.
SD Codified L § 47-31B-405 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-405 - Federal covered investment adviser notice filing requirement.

47-31B-405. Federal covered investment adviser notice filing requirement.(a) Notice filing requirement. Except with respect to a federal covered investment adviser described in subsection (b), it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser complies with subsection (c).(b) Notice filing requirement not required. The following federal covered investment advisers are not required to comply with subsection (c):(1)A federal covered investment adviser without a place of business in this state if its only clients in this state are:(A)Federal covered investment advisers, investment advisers registered under this chapter, and broker-dealers registered under this chapter;(B)Institutional investors;(C)Bona fide preexisting clients whose principal places of residence are not in this state; or(D)Other clients specified by rule adopted or order issued under this chapter;(2)A federal covered investment adviser without a place of business in this state if the person has had, during the preceding twelve months, not more than five clients that are resident in this state in addition to those specified under paragraph (1); and(3)Any other person excluded by rule adopted or order issued under this chapter.(c) Notice filing procedure. A person acting as a federal covered investment adviser, not excluded under subsection (b), shall file a notice, a consent to service of process complying with §47-31B-611, and such records as have been filed with the Securities and Exchange Commission under the Investment Advisers Act of 1940 required by rule adopted or order issued under this chapter and pay the fees specified in §47-31B-410(e).(d) Effectiveness of filing. The notice under subsection (c) becomes effective upon its filing. Source: SL 2004, ch 278, §21.
SD Codified L § 47-31B-406 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

47-31B-406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative.(a) Application for initial registration. A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service of process complying with §47-31B-611, and paying the fee specified in §47-31B-410 and any reasonable fees charged by the designee of the director for processing the filing. The application must contain:(1)The information or record required for the filing of a uniform application; and(2)Upon request by the director, any other financial or other information or record that the director determines is appropriate.(b) Amendment. If the information or record contained in an application filed under subsection (a) is or becomes inaccurate or incomplete in a material respect, the registrant shall promptly file a correcting amendment.(c) Effectiveness of registration. If an order is not in effect and a proceeding is not pending under §47-31B-412, registration becomes effective at noon on the forty-fifth day after a completed application is filed, unless the registration is denied. A rule adopted or order issued under this chapter may set an earlier effective date or may defer the effective date until noon on the forty-fifth day after the filing of any amendment completing the application.(d) Registration renewal. A registration is effective until midnight on December thirty-first of the year for which the application for registration is filed. Unless an order is in effect under §47-31B-412, a registration may be automatically renewed each year by filing such records as are required by rule adopted or order issued under this chapter, by paying the fee specified in §47-31B-410, and by paying costs charged by the designee of the director for processing the filings.(e) Additional conditions or waivers. A rule adopted or order issued under this chapter may impose such other conditions, not inconsistent with the National Securities Markets Improvement Act of 1996. An order issued under this chapter may waive, in whole or in part, specific requirements in connection with registration as are in the public interest and for the protection of investors. Source: SL 2004, ch 278, §22.
SD Codified L § 47-31B-407 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-407 - Succession and change in registration of broker-dealer or investment advisor.

47-31B-407. Succession and change in registration of broker-dealer or investment advisor.(a) Succession. A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed to the current registration of an investment adviser or notice filing of another federal covered investment adviser, by filing as a successor an application for registration pursuant to §47-31B-401 or 47-31B-403 or a notice pursuant to §47-31B-405 for the unexpired portion of the current registration or notice filing.(b) Organizational change. A broker-dealer or investment adviser that changes its form of organization or state of incorporation or organization may continue its registration by filing an amendment to its registration if the change does not involve a material change in its financial condition or management. The amendment becomes effective when filed or on a date designated by the registrant in its filing. The new organization is a successor to the original registrant for the purposes of this chapter. If there is a material change in financial condition or management, the broker-dealer or investment adviser shall file a new application for registration. A predecessor registered under this chapter shall stop conducting its securities business other than winding down transactions and shall file for withdrawal of broker-dealer or investment adviser registration within forty-five days after filing its amendment to effect succession.(c) Name change. A broker-dealer or investment adviser that changes its name may continue its registration by filing an amendment to its registration. The amendment becomes effective when filed or on a date designated by the registrant.(d) Change of control. A change of control of a broker-dealer or investment adviser may be made in accordance with a rule adopted or order issued under this chapter. Source: SL 2004, ch 278, §23.
SD Codified L § 47-31B-409 (2021)
2021 South Dakota Codified Laws|Title 47 - Corporations|Chapter 31B - Uniform Securities Act Of 2002|Section 47-31B-409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

47-31B-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective sixty days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this chapter unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this chapter. The director may institute a revocation or suspension proceeding under §47-31B-412 within one year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending. Source: SL 2004, ch 278, §25.