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| § 581-1 |
Short Title of Act |
| § 581-2 |
Creating the State Securities Board and Providing for Appointment of Securities Commissioner |
| § 581-2-1 |
Conflict of Interest |
| § 581-2-2 |
Information About Standards of Conduct |
| § 581-2-3 |
Training |
| § 581-2-4 |
Division of Policy and Management Responsibilities |
| § 581-2-5 |
Public Testimony |
| § 581-2-6 |
Complaints Information |
| § 581-2-7 |
Equal Employment Opportunity Policy Statement |
| § 581-2-8 |
Alternative Rulemaking and Dispute Resolution |
| § 581-3 |
Administration and Enforcement by the Securities Commissioner and the Attorney General and Local Law Enforcement Officials |
| § 581-3-1 |
Nonexclusivity of Means of Enforcement |
| § 581-4 |
Definitions |
| § 581-5 |
Exempt Transactions |
| § 581-6 |
Exempt Securities |
| § 581-7 |
Permit or Registration for Issue by Commissioner; Information for Issuance of Permit or Registration |
| § 581-8 |
Consent to Service |
| § 581-9 |
Protection to Purchasers of Securities |
| § 581-10 |
Examination of Application; Permit |
| § 581-10-1 |
Purposes |
| § 581-11 |
Papers Filed With Commissioner; Records Open to Inspection |
| § 581-12 |
Registration of Persons Selling Securities or Rendering Investment Advice |
| § 581-12-1 |
Notice Filing for Federal Covered Investment Advisers and Representatives of Federal Covered Investment Advisers |
| § 581-13 |
Method and Condition of Registration Required for Dealer, Agent, Investment Adviser, or Investment Adviser Representative |
| § 581-13-1 |
Inspection |
| § 581-14 |
Denial, Suspension or Revocation of Registration as Dealer, Agent, Investment Adviser, or Investment Adviser Representative |
| § 581-15 |
Issuance of Registration Certificates to Dealers and Investment Advisers |
| § 581-17 |
Form of Certificates to Dealers and Investment Advisers |
| § 581-18 |
Registration of Agents of Dealers or of Representatives of Investment Advisers |
| § 581-19 |
Annual Registration; Renewals |
| § 581-20 |
Display or Advertisement of Fact of Registration Unlawful |
| § 581-21 |
Posting Registration Certificates |
| § 581-22 |
Regulation of Offers |
| § 581-23 |
Cease and Desist Orders; Cease Publication Orders; List of Securities Offered |
| § 581-23-1 |
Assessment of Administrative Fines |
| § 581-23-2 |
Emergency Cease and Desist Order |
| § 581-24 |
Hearings Upon Exception to Actions of Commissioner |
| § 581-25 |
Revocation of Registration of Any Dealer, Agent, Investment Adviser, or Investment Adviser Representative |
| § 581-25-1 |
Receiverships of Persons or Assets |
| § 581-26 |
Notices by Registered Mail |
| § 581-27 |
Judicial Review |
| § 581-28 |
Investigations, Investigatory Materials, and Registration Related Materials |
| § 581-28-1 |
Adoption of Rules and Regulations |
| § 581-29 |
Penal Provisions |
| § 581-29-1 |
Limitation |
| § 581-29-2 |
Aggregation of Amounts Involved in Securities Fraud |
| § 581-29-3 |
Criminal Responsibility of Corporation or Association |
| § 581-30 |
Certified Copies of Papers Filed With Commissioner as Evidence |
| § 581-31 |
Construction |
| § 581-32 |
Injunctions, Restitution, and Civil Penalties |
| § 581-32-1 |
Refund |
| § 581-33 |
Civil Liability With Respect to Issuance or Sale of a Security |
| § 581-33-1 |
Civil Liability of Investment Advisers and Investment Adviser Representatives |
| § 581-33-2 |
Stay of Recognition or Enforcement of Foreign Country Judgment |
| § 581-34 |
Actions for Commission; Allegations and Proof of Compliance |
| § 581-35 |
Fees |
| § 581-35-1 |
Fees for Sales of Excess Securities |
| § 581-35-2 |
Fees for Sales of Unregistered Securities |
| § 581-36 |
Deposit to General Revenue Fund |
| § 581-37 |
Pleading Exemptions |
| § 581-38 |
Partial Invalidity; Severability |
| § 581-39 |
Repeal of Securities Act and Insurance Securities Act Now in Effect; Saving Clause as to Pending Proceedings |
| § 581-42 |
Reduced Fees |
| § 581-43 |
Investor Education |
| § 581-44 |
Crowdfunding |
| § 581-45 |
Protection of Vulnerable Adults From Financial Exploitation |
