A certificate signed by the director and under seal of the commission showing that a notice filing has or has not been filed as provided in article 4 of this chapter or that an investment adviser or investment adviser representative has or has not been licensed as provided in article 4 of this chapter constitutes evidence of the facts so certified and is admissible in evidence in any civil or criminal action or proceeding in which the question of the notice of filing or licensure may be at issue.

Terms Used In Arizona Laws 44-3294

  • Action: includes any matter or proceeding in a court, civil or criminal. See Arizona Laws 1-215
  • Director: means the director of the securities division of the commission. See Arizona Laws 44-1801
  • Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
  • Investment adviser: means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing or selling securities or who, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. See Arizona Laws 44-3101
  • Investment adviser representative: means any partner, officer or director of an investment adviser, any individual who occupies a status or performs functions similar to a partner, officer or director of an investment adviser or any other individual who is employed by or associated with an investment adviser, except clerical or ministerial personnel, and who does any of the following:

    (a) Makes any recommendations or otherwise renders advice regarding securities. See Arizona Laws 44-3101

 

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