§ 44-3181 Fees; penalties; abandonment

Terms Used In Arizona Laws > Title 44 > Chapter 13 > Article 5

  • Commission: means the Arizona corporation commission. See Arizona Laws 44-1801
  • Federal covered adviser: means an investment adviser registered under the investment advisers act of 1940. See Arizona Laws 44-3101
  • IARD: means the investment adviser registration depository operated by the national association of securities dealers. See Arizona Laws 44-3101
  • 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

  • Licensed investment adviser: means an investment adviser licensed under this chapter. See Arizona Laws 44-3101
  • 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