§ 44-3291 Jurisdiction and venue of offenses and actions; joinder of spouse
§ 44-3292 Cease and desist orders; injunctions; civil restitution; prosecutions for violations
§ 44-3293 Burden of proof of exemptions
§ 44-3294 Evidence of licensure or lack of licensure
§ 44-3295 Evidence of record of proceedings
§ 44-3296 Administrative penalty
§ 44-3297 Costs recoverable
§ 44-3298 Investment management regulatory and enforcement fund; purpose
§ 44-3299 State liability; limitation
§ 44-3300 Confidentiality

Terms Used In Arizona Laws > Title 44 > Chapter 13 > Article 11

  • Action: includes any matter or proceeding in a court, civil or criminal. See Arizona Laws 1-215
  • Appropriation: The provision of funds, through an annual appropriations act or a permanent law, for federal agencies to make payments out of the Treasury for specified purposes. The formal federal spending process consists of two sequential steps: authorization
  • Commission: means the Arizona corporation commission. See Arizona Laws 44-1801
  • Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
  • Defendant: In a civil suit, the person complained against; in a criminal case, the person accused of the crime.
  • Director: means the director of the securities division of the commission. See Arizona Laws 44-1801
  • Division: means 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.
  • Fiscal year: The fiscal year is the accounting period for the government. For the federal government, this begins on October 1 and ends on September 30. The fiscal year is designated by the calendar year in which it ends; for example, fiscal year 2006 begins on October 1, 2005 and ends on September 30, 2006.
  • including: means not limited to and is not a term of exclusion. See Arizona Laws 1-215
  • Indictment: The formal charge issued by a grand jury stating that there is enough evidence that the defendant committed the crime to justify having a trial; it is used primarily for felonies.
  • Inhabitant: means a resident of a city, town, village, district, county or precinct. See Arizona Laws 1-215
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • 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

  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • Person: means an individual, corporation, partnership, association, joint stock company or trust, limited liability company, government or governmental subdivision or agency or any other unincorporated organization. See Arizona Laws 44-1801
  • Process: means a citation, writ or summons issued in the course of judicial proceedings. See Arizona Laws 1-215
  • Property: includes both real and personal property. See Arizona Laws 1-215
  • Reporter: Makes a record of court proceedings and prepares a transcript, and also publishes the court's opinions or decisions (in the courts of appeals).
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • Temporary restraining order: Prohibits a person from an action that is likely to cause irreparable harm. This differs from an injunction in that it may be granted immediately, without notice to the opposing party, and without a hearing. It is intended to last only until a hearing can be held.
  • United States: includes the District of Columbia and the territories. See Arizona Laws 1-215