§ 44-3201 Grounds for denial, revocation or suspension of license; administrative remedies
§ 44-3202 Entry of order of denial, suspension or revocation

Terms Used In Arizona Laws > Title 44 > Chapter 13 > Article 6

  • Action: includes any matter or proceeding in a court, civil or criminal. See Arizona Laws 1-215
  • Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
  • Commission: means the Arizona corporation commission. See Arizona Laws 44-1801
  • Corporation: A legal entity owned by the holders of shares of stock that have been issued, and that can own, receive, and transfer property, and carry on business in its own name.
  • Director: means the director of the securities division of the commission. See Arizona Laws 44-1801
  • Docket: A log containing brief entries of court proceedings.
  • Federal covered adviser: means an investment adviser registered under the investment advisers act of 1940. See Arizona Laws 44-3101
  • Felony: A crime carrying a penalty of more than a year in prison.
  • Fiduciary: A trustee, executor, or administrator.
  • Fraud: Intentional deception resulting in injury to another.
  • including: means not limited to and is not a term of exclusion. See Arizona Laws 1-215
  • 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.
  • Licensed investment adviser: means an investment adviser licensed under this chapter. See Arizona Laws 44-3101
  • Misdemeanor: Usually a petty offense, a less serious crime than a felony, punishable by less than a year of confinement.
  • Partnership: A voluntary contract between two or more persons to pool some or all of their assets into a business, with the agreement that there will be a proportional sharing of profits and losses.
  • 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
  • Restitution: The court-ordered payment of money by the defendant to the victim for damages caused by the criminal action.
  • SEC: means the United States securities and exchange commission. See Arizona Laws 44-1801
  • SRO: means any national securities or commodities exchange, registered association or registered clearing agency. See Arizona Laws 44-1801
  • Trustee: A person or institution holding and administering property in trust.