| DEFINITIONS |
| 21.20.005 | Definitions. |
| FRAUDULENT AND OTHER PROHIBITED PRACTICES |
| 21.20.010 | Unlawful offers, sales, purchases. |
| 21.20.020 | Unlawful acts of person advising another. |
| 21.20.030 | Unlawful acts of investment adviser. |
| 21.20.035 | Unlawful purchases or sales for customer's account. |
| VARIABLE CONTRACTS |
| 21.20.037 | Variable contracts -- Registration required -- Rules. |
REGISTRATION AND NOTICE FOR BROKER-DEALERS,
SALESPERSONS, INVESTMENT ADVISERS,
AND INVESTMENT ADVISER SALESPERSONS |
| 21.20.040 | Registration and notification required -- Exemptions. |
| 21.20.050 | Application for registration -- Filing of documents -- Consent to service of process -- Fee. |
| 21.20.060 | Contents of application for registration -- Capital requirements. |
| 21.20.070 | When registration effective -- Requirements determined by rule. |
| 21.20.080 | Duration of registration -- Association with issuer, broker-dealer, federal covered adviser, or investment adviser -- Notice to director -- Extension of licensing period. |
| 21.20.090 | Renewal of registration -- Financial reports -- Application for a successor. |
| 21.20.100 | Accounts, correspondence, memoranda, papers, books, and other records -- Release of information -- Correction of filed document -- Examination. |
| 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. |
| 21.20.120 | Denial, suspension, revocation of registration -- Order -- Request for, notice of hearing -- Findings and conclusions. |
| 21.20.130 | Cancellation of registration or application -- Grounds. |
| 21.20.135 | License as salesperson or broker-dealer prerequisite to suit for commission. |
| REGISTRATION OF SECURITIES |
| 21.20.140 | Unlawful to offer or sell unregistered securities -- Exceptions. |
| REGISTRATION BY COORDINATION |
| 21.20.180 | Registration by coordination -- Requirements -- Statement, contents. |
| 21.20.190 | Time of taking effect of registration statement by coordination -- Conditions -- "Price amendment", notification. |
| 21.20.200 | Failure to notify of price amendment, proof of compliance -- Stop order -- Waiver of certain conditions. |
| REGISTRATION BY QUALIFICATION |
| 21.20.210 | Registration by qualification -- Statements -- Requirements -- Audits. |
| 21.20.220 | Information not required when nonissuer distribution. |
| 21.20.230 | Time of taking effect of registration statement by qualification -- Conditions. |
GENERAL PROVISIONS REGARDING REGISTRATION
OF SECURITIES |
| 21.20.240 | Registration statements -- Generally. |
| 21.20.250 | Registration by qualification or coordination -- Escrow -- Impounding proceeds. |
| 21.20.260 | Registration by coordination or qualification -- Offer and sale -- Duration of effectiveness. |
| 21.20.270 | Reports by filer of statement -- Annual financial statements. |
| 21.20.275 | Pending registration -- Notice of termination -- Application for continuation. |
DENIAL, SUSPENSION AND REVOCATION
OF REGISTRATION OF SECURITIES |
| 21.20.280 | Stop orders -- Grounds. |
| 21.20.290 | Stop order prohibited if facts known on effective date of statement. |
| 21.20.300 | Notification of entry of stop order -- Hearing -- Findings, conclusions, modification, etc. |
| EXEMPT SECURITIES |
| 21.20.310 | Securities exempt from registration. |
| EXEMPT TRANSACTIONS |
| 21.20.320 | Exempt transactions. |
| EXEMPT SECURITIES AND TRANSACTIONS |
| 21.20.325 | Denial, revocation, condition, of exemptions -- Authority -- Procedure. |
| FEDERAL COVERED SECURITY |
| 21.20.327 | Required filings -- Consent to service -- Failure to comply -- Rules -- Fees. |
| CONSENT TO SERVICE OF PROCESS |
| 21.20.330 | Consent to service of process -- Service, how made. |
| FEES |
| 21.20.340 | Fees -- Disposition. |
| MISLEADING FILINGS |
| 21.20.350 | False or misleading statements in filed documents. |
UNLAWFUL REPRESENTATIONS CONCERNING REGISTRATION
OR EXEMPTION |
| 21.20.360 | Filing, registration, statement, exemption not conclusive as to truth or completeness -- Unlawful representations. |
| INVESTIGATIONS AND SUBPOENAS |
| 21.20.370 | Investigations -- Statement of facts relating to investigation may be permitted -- Publication of information -- Use of criminal history record information. |
| 21.20.377 | Subpoena authority -- Application -- Contents -- Notice -- Fees. |
| 21.20.380 | Oaths -- Subpoenas -- Assisting another state -- Compelling obedience -- Punishment. |
| INJUNCTIONS AND OTHER REMEDIES |
| 21.20.390 | Injunction, cease and desist order, restraining order, mandamus -- Appointment of receiver or conservator for insolvent -- Restitution or damages -- Costs -- Accounting. |
| 21.20.395 | Administrative action -- Hearing -- Judicial review -- Judgment. |
| CRIMINAL LIABILITIES |
| 21.20.400 | Penalty for violation of chapter -- Limitation of actions (as amended by 2003 c 288). |
| 21.20.400 | Penalty for violation of chapter -- Limitation of actions (as amended by 2003 c 53). |
| 21.20.410 | Attorney general, prosecuting attorney may institute criminal proceeding -- Referral of evidence by director. |
| 21.20.420 | Criminal punishment, chapter not exclusive. |
| CIVIL LIABILITIES |
| 21.20.430 | Civil liabilities -- Survival, limitation of actions -- Waiver of chapter void -- Scienter. |
| DISCONTINUANCE OF VIOLATIONS |
| 21.20.435 | Assurance of discontinuance of violations -- Acceptance -- Filing. |
| JUDICIAL REVIEW OF ORDERS |
| 21.20.440 | Judicial review of order -- Modification of order by director on additional evidence. |
| ADMINISTRATION OF CHAPTER |
| 21.20.450 | Administration of chapter -- Rules and forms, publication -- Cooperation with other state and federal authorities. |
| 21.20.460 | Administrator of securities -- Appointment, qualifications, term, etc. |
| 21.20.470 | Compensation, travel expenses of administrator and employees. |
| 21.20.480 | Unlawful use or disclosure of filed information. |
| 21.20.490 | No liability under chapter for act in good faith. |
| 21.20.500 | Administrative hearings public -- Exception. |
| 21.20.510 | Document filed when received -- Register -- Inspection of register, information, etc. |
| 21.20.520 | Copies of entries, documents to be furnished -- Copies as prima facie evidence. |
| 21.20.530 | Interpretative opinions by director. |
| PROOF OF EXEMPTION |
| 21.20.540 | Exemptions, exceptions, and preemptions -- Burden of proof. |
| ADDITIONAL PROVISIONS |
| 21.20.700 | Investigations and examinations -- Additional authority -- Scope. |
| 21.20.702 | Suitability of recommendation--Reasonable grounds required. |
| 21.20.705 | Debenture companies -- Definitions. |
| 21.20.710 | Debenture companies -- Capital requirements. |
| 21.20.715 | Debenture companies -- Maturity date requirements. |
| 21.20.717 | Debenture companies -- Controlling person -- Exceptions. |
| 21.20.720 | Debenture companies -- Prohibited activities by directors, officers, or controlling persons. |
| 21.20.725 | Debenture companies -- Debentures payable on demand--Interest--Certificates of debenture. |
| 21.20.727 | Debenture companies -- Acquisition of control -- Requirements -- Violation -- Penalty. |
| 21.20.730 | Debenture companies -- Acquisition of control -- Grounds for disapproval. |
| 21.20.732 | Debenture companies -- Notice of charges -- Hearing -- Cease and desist orders. |
| 21.20.734 | Debenture companies -- Temporary cease and desist orders. |
| 21.20.740 | Reports -- Requirements. |
| 21.20.745 | Reports -- Violations of reporting requirements -- Penalties -- Contribution. |
| 21.20.750 | Reports -- Suspension of sale of securities until reporting requirements complied with. |
| 21.20.800 | Severability -- 1973 1st ex.s. c 171. |
| 21.20.805 | Effective date -- Construction -- 1973 1st ex.s. c 171. |
| 21.20.810 | Application of chapter not limited. |
| 21.20.815 | Debenture companies -- Equity investments. |
| 21.20.820 | Debenture companies -- Loans to any one borrower -- Limitations. |
| 21.20.825 | Debenture companies -- Bad debts. |
| 21.20.830 | Debenture companies -- Investments in unsecured loans. |
| 21.20.835 | Debenture companies -- Debenture holders -- Notice of maturity date of debenture. |
| 21.20.840 | Debenture companies -- Annual financial statement. |
| 21.20.845 | Debenture companies -- Rules. |
| 21.20.850 | Debenture companies -- Record maintenance and preservation -- Examination. |
| 21.20.855 | Debenture companies -- Examination reports and information -- Exempt from public disclosure -- Use in civil actions. |
| 21.20.860 | Construction -- Chapter applicable to state registered domestic partnerships -- 2009 c 521. |
| SMALL SECURITIES OFFERINGS |
| 21.20.880 | Small securities offerings -- Exemptions -- Quarterly reports -- Disqualification provisions. |
| 21.20.883 | Portals -- Qualifications and use -- Requirements. |
| 21.20.886 | Rule making for small securities offerings. |
| STATUTORY POLICY |
| 21.20.900 | Construction to secure uniformity. |
| SEVERABILITY OF PROVISIONS |
| 21.20.905 | Severability -- 1959 c 282. |
| REPEAL AND SAVING PROVISIONS |
| 21.20.910 | Saving -- Civil, criminal proceedings. |
| 21.20.915 | Saving -- Prior effective registrations. |
| 21.20.920 | Application of prior law. |
| 21.20.925 | Judicial review of prior administrative orders. |
| 21.20.930 | Solicitation permits under insurance laws not limited. |
| 21.20.935 | Repealer. |
| SHORT TITLE |
| 21.20.940 | Short title. |