DEFINITIONS |
HTMLPDF | 21.20.005 | Definitions. |
FRAUDULENT AND OTHER PROHIBITED PRACTICES |
HTMLPDF | 21.20.010 | Unlawful offers, sales, purchases. |
HTMLPDF | 21.20.020 | Unlawful acts of person advising another. |
HTMLPDF | 21.20.030 | Unlawful acts of investment adviser. |
HTMLPDF | 21.20.035 | Unlawful purchases or sales for customer's account. |
VARIABLE CONTRACTS |
HTMLPDF | 21.20.037 | Variable contracts—Registration required—Rules. |
REGISTRATION AND NOTICE FOR BROKER-DEALERS, SALESPERSONS, INVESTMENT ADVISERS, AND INVESTMENT ADVISER SALESPERSONS |
HTMLPDF | 21.20.040 | Registration and notification required—Exemptions. |
HTMLPDF | 21.20.050 | Application for registration—Filing of documents—Consent to service of process—Fee. |
HTMLPDF | 21.20.060 | Contents of application for registration—Capital requirements. |
HTMLPDF | 21.20.070 | When registration effective—Requirements determined by rule. |
HTMLPDF | 21.20.080 | Duration of registration—Association with issuer, broker-dealer, federal covered adviser, or investment adviser—Notice to director—Extension of licensing period. |
HTMLPDF | 21.20.090 | Renewal of registration—Financial reports—Application for a successor. |
HTMLPDF | 21.20.100 | Accounts, correspondence, memoranda, papers, books, and other records—Release of information—Correction of filed document—Examination. |
HTMLPDF | 21.20.110 | Director may deny, suspend, revoke, restrict, condition, or limit any application or registration—Director may censure or fine registrant—Grounds—Procedures—Costs—Accounting. |
HTMLPDF | 21.20.120 | Denial, suspension, revocation of registration—Order—Request for, notice of hearing—Findings and conclusions. |
HTMLPDF | 21.20.130 | Cancellation of registration or application—Grounds. |
HTMLPDF | 21.20.135 | License as salesperson or broker-dealer prerequisite to suit for commission. |
REGISTRATION OF SECURITIES |
HTMLPDF | 21.20.140 | Unlawful to offer or sell unregistered securities—Exceptions. |
REGISTRATION BY COORDINATION |
HTMLPDF | 21.20.180 | Registration by coordination—Requirements—Statement, contents. |
HTMLPDF | 21.20.190 | Time of taking effect of registration statement by coordination—Conditions—"Price amendment", notification. |
HTMLPDF | 21.20.200 | Failure to notify of price amendment, proof of compliance—Stop order—Waiver of certain conditions. |
REGISTRATION BY QUALIFICATION |
HTMLPDF | 21.20.210 | Registration by qualification—Statements—Requirements—Audits. |
HTMLPDF | 21.20.220 | Information not required when nonissuer distribution. |
HTMLPDF | 21.20.230 | Time of taking effect of registration statement by qualification—Conditions. |
GENERAL PROVISIONS REGARDING REGISTRATION OF SECURITIES |
HTMLPDF | 21.20.240 | Registration statements—Generally. |
HTMLPDF | 21.20.250 | Registration by qualification or coordination—Escrow—Impounding proceeds. |
HTMLPDF | 21.20.260 | Registration by coordination or qualification—Offer and sale—Duration of effectiveness. |
HTMLPDF | 21.20.270 | Reports by filer of statement—Annual financial statements. |
HTMLPDF | 21.20.275 | Pending registration—Notice of termination—Application for continuation. |
DENIAL, SUSPENSION AND REVOCATION OF REGISTRATION OF SECURITIES |
HTMLPDF | 21.20.280 | Stop orders—Grounds. |
HTMLPDF | 21.20.290 | Stop order prohibited if facts known on effective date of statement. |
HTMLPDF | 21.20.300 | Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc. |
EXEMPT SECURITIES |
HTMLPDF | 21.20.310 | Securities exempt from registration. |
EXEMPT TRANSACTIONS |
HTMLPDF | 21.20.320 | Exempt transactions. |
EXEMPT SECURITIES AND TRANSACTIONS |
HTMLPDF | 21.20.325 | Denial, revocation, condition, of exemptions—Authority—Procedure. |
FEDERAL COVERED SECURITY |
HTMLPDF | 21.20.327 | Required filings—Consent to service—Failure to comply—Rules—Fees. |
CONSENT TO SERVICE OF PROCESS |
HTMLPDF | 21.20.330 | Consent to service of process—Service, how made. |
FEES |
HTMLPDF | 21.20.340 | Fees—Disposition. |
MISLEADING FILINGS |
HTMLPDF | 21.20.350 | False or misleading statements in filed documents. |
UNLAWFUL REPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION |
HTMLPDF | 21.20.360 | Filing, registration, statement, exemption not conclusive as to truth or completeness—Unlawful representations. |
INVESTIGATIONS AND SUBPOENAS |
HTMLPDF | 21.20.370 | Investigations—Statement of facts relating to investigation may be permitted—Publication of information—Use of criminal history record information. |
HTMLPDF | 21.20.377 | Subpoena authority—Application—Contents—Notice—Fees. |
HTMLPDF | 21.20.380 | Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment. |
INJUNCTIONS AND OTHER REMEDIES |
HTMLPDF | 21.20.390 | Injunction, cease and desist order, restraining order, mandamus—Appointment of receiver or conservator for insolvent—Restitution or damages—Costs—Accounting. |
HTMLPDF | 21.20.395 | Administrative action—Hearing—Judicial review—Judgment. |
CRIMINAL LIABILITIES |
HTMLPDF | 21.20.400 | Penalty for violation of chapter—Limitation of actions. |
HTMLPDF | 21.20.410 | Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director. |
HTMLPDF | 21.20.420 | Criminal punishment, chapter not exclusive. |
CIVIL LIABILITIES |
HTMLPDF | 21.20.430 | Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter. |
DISCONTINUANCE OF VIOLATIONS |
HTMLPDF | 21.20.435 | Assurance of discontinuance of violations—Acceptance—Filing. |
JUDICIAL REVIEW OF ORDERS |
HTMLPDF | 21.20.440 | Judicial review of order—Modification of order by director on additional evidence. |
ADMINISTRATION OF CHAPTER |
HTMLPDF | 21.20.450 | Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities. |
HTMLPDF | 21.20.460 | Administrator of securities—Appointment, qualifications, term, etc. |
HTMLPDF | 21.20.470 | Compensation, travel expenses of administrator and employees. |
HTMLPDF | 21.20.480 | Unlawful use or disclosure of filed information. |
HTMLPDF | 21.20.490 | No liability under chapter for act in good faith. |
HTMLPDF | 21.20.500 | Administrative hearings public—Exception. |
HTMLPDF | 21.20.510 | Document filed when received—Register—Inspection of register, information, etc. |
HTMLPDF | 21.20.520 | Copies of entries, documents to be furnished—Copies as prima facie evidence. |
HTMLPDF | 21.20.530 | Interpretative opinions by director. |
PROOF OF EXEMPTION |
HTMLPDF | 21.20.540 | Exemptions, exceptions, and preemptions—Burden of proof. |
ADDITIONAL PROVISIONS |
HTMLPDF | 21.20.700 | Investigations and examinations—Additional authority—Scope. |
HTMLPDF | 21.20.702 | Suitability of recommendation—Reasonable grounds required. |
HTMLPDF | 21.20.810 | Application of chapter not limited. |
HTMLPDF | 21.20.855 | Examination reports and information—Exempt from public disclosure—Use in civil actions. |
HTMLPDF | 21.20.860 | Construction—Chapter applicable to state registered domestic partnerships—2009 c 521. |
SMALL SECURITIES OFFERINGS |
HTMLPDF | 21.20.880 | Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules. |
STATUTORY POLICY |
HTMLPDF | 21.20.900 | Construction to secure uniformity. |
REPEAL AND SAVING PROVISIONS |
HTMLPDF | 21.20.910 | Saving—Civil, criminal proceedings. |
HTMLPDF | 21.20.915 | Saving—Prior effective registrations. |
HTMLPDF | 21.20.920 | Application of prior law. |
HTMLPDF | 21.20.925 | Judicial review of prior administrative orders. |
HTMLPDF | 21.20.930 | Solicitation permits under insurance laws not limited. |
HTMLPDF | 21.20.935 | Repealer. |
SHORT TITLE |
HTMLPDF | 21.20.940 | Short title. |