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Arizona Revised Statutes (Last Updated: March 31, 2016) |
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Title 44. Trade and Commerce |
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Chapter 13. INVESTMENT MANAGEMENT |
| Article 1. Definitions |
| Sec 44-3101. Definitions |
| Sec 44-3102. Interpretations by commission |
| Article 2. Administrative Personnel |
| Sec 44-3111. Director of securities |
| Sec 44-3112. Assistant director of securities |
| Sec 44-3113. Employment of personnel |
| Sec 44-3114. Travel and other necessary expenses of employees |
| Sec 44-3115. Cooperation with other agencies |
| Article 3. General Administrative Powers |
| Sec 44-3131. General rule making power of commission; delegation of authority; limitation |
| Sec 44-3132. Investigations |
| Sec 44-3133. Power to require testimony and production of records; order of nondisclosure |
| Sec 44-3134. Contempt; penalty |
| Sec 44-3135. No-action letters |
| Article 4. Licensure of Investment Advisers and Investment Adviser Representatives |
| Sec 44-3151. Licensure required; exclusion; violation; classification |
| Sec 44-3152. Exemption of certain investment advisers and investment adviser representatives |
| Sec 44-3153. Application for licensure as investment adviser; notice filings by federal covered advisers |
| Sec 44-3154. Licensure application; additional information |
| Sec 44-3155. Investment adviser license; notification |
| Sec 44-3156. Application for licensure as investment adviser representative |
| Sec 44-3157. Investment adviser representative license; notification |
| Sec 44-3158. Expiration, renewal or transfer of licensure; automatic suspension |
| Sec 44-3159. Reporting requirements |
| Article 5. Fees |
| Sec 44-3181. Fees; penalties; abandonment |
| Article 6. Denial, Revocation or Suspension of License |
| Sec 44-3201. Grounds for denial, revocation or suspension of license; administrative remedies |
| Sec 44-3202. Entry of order of denial, suspension or revocation |
| Article 7. Hearings |
| Sec 44-3211. Initiation of hearing; purpose of hearing |
| Sec 44-3212. Notice of an opportunity for a hearing; time of hearing |
| Sec 44-3213. Conduct of hearing |
| Sec 44-3214. Rehearings |
| Article 8. Appeals |
| Sec 44-3231. Judicial review |
| Article 9. Fraudulent Practices |
| Sec 44-3241. Fraud in provision of investment advisory services; liability; violation; classification |
| Article 10. Conservators and Receivers |
| Sec 44-3271. Petition for appointment of conservators and receivers |
| Sec 44-3272. Conservators and receivers |
| Article 11. Enforcement |
| Sec 44-3291. Jurisdiction and venue of offenses and actions; joinder of spouse |
| Sec 44-3292. Cease and desist orders; injunctions; civil restitution; prosecutions for violations |
| Sec 44-3293. Burden of proof of exemptions |
| Sec 44-3294. Evidence of licensure or lack of licensure |
| Sec 44-3295. Evidence of record of proceedings |
| Sec 44-3296. Administrative penalty |
| Sec 44-3297. Costs recoverable |
| Sec 44-3298. Investment management regulatory and enforcement fund; purpose |
| Sec 44-3299. State liability; limitation |
| Sec 44-3300. Confidentiality |
| Article 12. Notice of Filings of Certain Investment Companies |
| Sec 44-3321. Notice filings by open-end companies and unit investment trusts |
| Sec 44-3322. Amount and term of securities subject to notice filing |
| Sec 44-3323. Sales reports |
| Sec 44-3324. Notice filing fees |
| Sec 44-3325. Notice filings by closed-end companies |