Doug Little
Commissioner
Boyd Dunn
Commissioner
Tom Forese
Chairman
Andy Tobin
Commissioner
Bob Burns
Commissioner

 

 

         

Securities Division

Investment Management Act of Arizona

 Article 1 - Definitions
44-3101 - Definitions
44-3102 - Interpretations by commission

Article 2 - Administrative Personnel
44-3111 - Director of securities
44-3112 - Assistant director of securities
44-3113 - Employment of personnel
44-3114 - Travel and other necessary expenses of employees
44-3115 - Cooperation with other agencies

Article 3 - General Administrative Powers
44-3131 - General rule making power of commission; delegation of authority; limitation
44-3132 - Investigations
44-3133 - Power to require testimony and production of records
44-3134 - Contempt; penalty
44-3135 - No-action letters

Article 4 - Licensure of Investment Advisers and Investment Adviser Representatives
44-3151 - Licensure required; exclusion; violation; classification
44-3152 - Exemption of certain investment advisers and investment adviser representatives
44-3153 - Application for licensure as investment adviser; notice filings by federal covered advisers
44-3154 - Licensure application; additional information
44-3155 - Investment adviser license; notification
44-3156 - Application for licensure as investment adviser representative
44-3157 - Investment adviser representative license; notification
44-3158 - Transfer or expiration of licensure; automatic suspension
44-3159 - Reporting requirements

Article 5 - Fees
44-3181 - Fees; penalties; abandonment

Article 6 - Denial, Revocation or Suspension of License
44-3201 - Denial, revocation or suspension of license; grounds
44-3202 - Entry of order of denial, suspension or revocation

Article 7 - Hearings
44-3211 - Initiation of hearing; purpose of hearing
44-3212 - Notice of an opportunity for a hearing; time of hearing
44-3213 - Conduct of hearing
44-3214 - Rehearings

Article 8 - Appeals
44-3231 - Judicial review

Article 9 - Fraudulent Practices
44-3241 - Fraud in provision of investment advisory services; liability; violation; classification

Article 10 - Conservators and Receivers
44-3271 - Complaint for appointment of conservators and receivers
44-3272 - Conservators and receivers

Article 11 - Enforcement
44-3291 - Jurisdiction and venue of offenses and actions
44-3292 - Cease and desist orders; injunctions; civil restitution; prosecutions for violations
44-3293 - Burden of proof of exemptions
44-3294 - Evidence of licensure or lack of licensure
44-3295 - Evidence of record of proceedings
44-3296 - Administrative penalty
44-3297 - Costs recoverable
44-3298 - Investment management regulatory and enforcement fund; purpose
44-3299 - State liability; limitation
44-3300 - Confidentiality

Article 12 - Notice of Filings of Certain Investment Companies
44-3321 - Notice filings by open-end companies and unit investment trusts
44-3322 - Amount and term of securities subject to notice filing
44-3323 - Sales reports
44-3324 - Notice filing fees
44-3325 - Notice filings by closed end companies

 

Quick Launch...

 
Privacy Policy
|
Contact
© Copyright 2014 Arizona Corporation Commission - All Rights Reserved