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| Definitions. |
FRAUDULENT AND OTHER PROHIBITED PRACTICES |
| Unlawful offers, sales, purchases. |
| Unlawful acts of person advising another. |
| Unlawful acts of investment adviser. |
| Unlawful purchases or sales for customer's account. |
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| Variable contracts—Registration required—Rules. |
REGISTRATION AND NOTICE FOR BROKER-DEALERS, SALESPERSONS, INVESTMENT ADVISERS, AND INVESTMENT ADVISER SALESPERSONS |
| Registration and notification required—Exemptions. |
| Application for registration—Filing of documents—Consent to service of process—Fee. |
| Contents of application for registration—Capital requirements. |
| When registration effective—Requirements determined by rule. |
| Duration of registration—Association with issuer, broker-dealer, federal covered adviser, or investment adviser—Notice to director—Extension of licensing period. |
| Renewal of registration—Financial reports—Application for a successor. |
| Accounts, correspondence, memoranda, papers, books, and other records—Release of information—Correction of filed document—Examination. |
| Director may deny, suspend, revoke, restrict, condition, or limit any application or registration—Director may censure or fine registrant—Grounds—Procedures—Costs—Accounting. |
| Denial, suspension, revocation of registration—Order—Request for, notice of hearing—Findings and conclusions. |
| Cancellation of registration or application—Grounds. |
| License as salesperson or broker-dealer prerequisite to suit for commission. |
REGISTRATION OF SECURITIES |
| Unlawful to offer or sell unregistered securities—Exceptions. |
REGISTRATION BY COORDINATION |
| Registration by coordination—Requirements—Statement, contents. |
| Time of taking effect of registration statement by coordination—Conditions—"Price amendment", notification. |
| Failure to notify of price amendment, proof of compliance—Stop order—Waiver of certain conditions. |
REGISTRATION BY QUALIFICATION |
| Registration by qualification—Statements—Requirements—Audits. |
| Information not required when nonissuer distribution. |
| Time of taking effect of registration statement by qualification—Conditions. |
GENERAL PROVISIONS REGARDING REGISTRATION OF SECURITIES |
| Registration statements—Generally. |
| Registration by qualification or coordination—Escrow—Impounding proceeds. |
| Registration by coordination or qualification—Offer and sale—Duration of effectiveness. |
| Reports by filer of statement—Annual financial statements. |
| Pending registration—Notice of termination—Application for continuation. |
DENIAL, SUSPENSION AND REVOCATION OF REGISTRATION OF SECURITIES |
| Stop orders—Grounds. |
| Stop order prohibited if facts known on effective date of statement. |
| Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc. |
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| Securities exempt from registration. |
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| Exempt transactions. |
EXEMPT SECURITIES AND TRANSACTIONS |
| Denial, revocation, condition, of exemptions—Authority—Procedure. |
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| Required filings—Consent to service—Failure to comply—Rules—Fees. |
CONSENT TO SERVICE OF PROCESS |
| Consent to service of process—Service, how made. |
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| Fees—Disposition. |
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| False or misleading statements in filed documents. |
UNLAWFUL REPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION |
| Filing, registration, statement, exemption not conclusive as to truth or completeness—Unlawful representations. |
INVESTIGATIONS AND SUBPOENAS |
| Investigations—Statement of facts relating to investigation may be permitted—Publication of information—Use of criminal history record information. |
| Subpoena authority—Application—Contents—Notice—Fees. |
| Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment. |
INJUNCTIONS AND OTHER REMEDIES |
| Injunction, cease and desist order, restraining order, mandamus—Appointment of receiver or conservator for insolvent—Restitution or damages—Costs—Accounting. |
| Administrative action—Hearing—Judicial review—Judgment. |
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| Penalty for violation of chapter—Limitation of actions. |
| Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director. |
| Criminal punishment, chapter not exclusive. |
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| Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter. |
DISCONTINUANCE OF VIOLATIONS |
| Assurance of discontinuance of violations—Acceptance—Filing. |
JUDICIAL REVIEW OF ORDERS |
| Judicial review of order—Modification of order by director on additional evidence. |
ADMINISTRATION OF CHAPTER |
| Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities. |
| Administrator of securities—Appointment, qualifications, term, etc. |
| Compensation, travel expenses of administrator and employees. |
| Unlawful use or disclosure of filed information. |
| No liability under chapter for act in good faith. |
| Administrative hearings public—Exception. |
| Document filed when received—Register—Inspection of register, information, etc. |
| Copies of entries, documents to be furnished—Copies as prima facie evidence. |
| Interpretative opinions by director. |
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| Exemptions, exceptions, and preemptions—Burden of proof. |
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| Investigations and examinations—Additional authority—Scope. |
| Suitability of recommendation—Reasonable grounds required. |
| Debenture companies—Definitions. |
| Debenture companies—Capital requirements. |
| Debenture companies—Maturity date requirements. |
| Debenture companies—Controlling person—Exceptions. |
| Debenture companies—Prohibited activities by directors, officers, or controlling persons. |
| Debenture companies—Debentures payable on demand—Interest—Certificates of debenture. |
| Debenture companies—Acquisition of control—Requirements—Violation—Penalty. |
| Debenture companies—Acquisition of control—Grounds for disapproval. |
| Debenture companies—Notice of charges—Hearing—Cease and desist orders. |
| Debenture companies—Temporary cease and desist orders. |
| Reports—Requirements. |
| Reports—Violations of reporting requirements—Penalties—Contribution. |
| Reports—Suspension of sale of securities until reporting requirements complied with. |
| Effective date—Construction—1973 1st ex.s. c 171. |
| Application of chapter not limited. |
| Debenture companies—Equity investments. |
| Debenture companies—Loans to any one borrower—Limitations. |
| Debenture companies—Bad debts. |
| Debenture companies—Investments in unsecured loans. |
| Debenture companies—Debenture holders—Notice of maturity date of debenture. |
| Debenture companies—Annual financial statement. |
| Debenture companies—Rules. |
| Debenture companies—Record maintenance and preservation—Examination. |
| Examination reports and information—Exempt from public disclosure—Use in civil actions. |
| Construction—Chapter applicable to state registered domestic partnerships—2009 c 521. |
SMALL SECURITIES OFFERINGS |
| Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules. |
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| Construction to secure uniformity. |
REPEAL AND SAVING PROVISIONS |
| Saving—Civil, criminal proceedings. |
| Saving—Prior effective registrations. |
| Application of prior law. |
| Judicial review of prior administrative orders. |
| Solicitation permits under insurance laws not limited. |
| Repealer. |
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| Short title. |
