Uniform Securities Act

AAA

DEFINITION of 'Uniform Securities Act'

An act created as a starting point for state-level securities regulation. The purpose of the Uniform Securities Act is to deal with securities fraud at the state level and to assist the SEC in enforcement and regulation.

INVESTOPEDIA EXPLAINS 'Uniform Securities Act'

Because not all investments are covered federally and not all investment dealers are registered at the federal level, the SEC cannot protect all investors and pursue all security violations. This creates the need for state-level regulations like the Uniform Securities Act to further protect investors. Each state has its own state security laws known as the Blue Sky Laws.

RELATED TERMS
  1. SEC Form PILOT

    A form that is filed with the SEC by self-regulatory organizations ...
  2. Blue Sky Laws

    State regulations designed to protect investors against securities ...
  3. National Association Of Securities ...

    The NASD was a self-regulatory organization of the securities ...
  4. Sarbanes-Oxley Act Of 2002 - SOX

    An act passed by U.S. Congress in 2002 to protect investors from ...
  5. Securities And Exchange Commission ...

    A government commission created by Congress to regulate the securities ...
  6. State Administrator

    The government agency or official who oversees and enforces state-level ...
Related Articles
  1. Online Investment Scams Tutorial
    Economics

    Online Investment Scams Tutorial

  2. Succeeding At The Series 63 Exam
    Professionals

    Succeeding At The Series 63 Exam

  3. Series 63, Series 65 Or Series 66?
    Options & Futures

    Series 63, Series 65 Or Series 66?

  4. 4 Dishonest Broker Tactics And How To ...
    Personal Finance

    4 Dishonest Broker Tactics And How To ...

comments powered by Disqus
Hot Definitions
  1. Effective Annual Interest Rate

    An investment's annual rate of interest when compounding occurs more often than once a year. Calculated as the following: ...
  2. Debit Spread

    Two options with different market prices that an investor trades on the same underlying security. The higher priced option ...
  3. Odious Debt

    Money borrowed by one country from another country and then misappropriated by national rulers. A nation's debt becomes odious ...
  4. Takeover

    A corporate action where an acquiring company makes a bid for an acquiree. If the target company is publicly traded, the ...
  5. Harvest Strategy

    A strategy in which investment in a particular line of business is reduced or eliminated because the revenue brought in by ...
  6. Stop-Limit Order

    An order placed with a broker that combines the features of stop order with those of a limit order. A stop-limit order will ...
Trading Center