A certificate signed by the director, and under seal of the commission, in regard to the record of any proceeding under this chapter for denial, suspension or revocation of the license of any investment adviser or investment adviser representative constitutes evidence of the record and is admissible in any civil or criminal proceeding in which the record may be at issue.

Terms Used In Arizona Laws 44-3295

  • 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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