Securities Law

In South Carolina, securities and investment-related laws are addressed by the state’s Uniform Securities Act, found in Title 35 of the Code of Laws of South Carolina. By legislative enactment, the state Attorney General also serves as the state Securities Commissioner, and as such, he is responsible for the enforcement of the Uniform Securities Act.

The Uniform Securities Act contains thirteen articles which cover the following areas: definitions, exempt securities and transactions, stockbrokers, investment advisers and their firms, securities registration, notice filings for federal-covered securities, fraudulent and other prohibited practices, judicial review, enforcement, remedies, liabilities and penalties.

For more detailed information on South Carolina’s Securities Laws, see the South Carolina Uniform Securities Act.

Securities regulations can be found in Chapter 13, Article 2 of the South Carolina Code of Regulations.

UPDATE:  As of June 26, 2015, the Securities Regulations have been updated.  Please click below to view the new and amended securities rules.  All other regulations not included in this update remain unchanged.

2015 Regulations Update

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Columbia, SC

Rembert Dennis Building | 1000 Assembly Street,

Room 519 | Columbia, S.C. 29201

Phone: 1-803-734-3970 | Fax: (803) 253-6283

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