44-1826. No-action requests
A. The director may formally respond to written requests from interested persons for interpretative no-action letters that confirm that the division will not institute enforcement proceedings against certain specified persons for engaging in certain specified activities.
B. A person shall submit a no-action request in writing and a nonrefundable filing fee pursuant to section 44-1861, subsection M. The request shall contain the following:
1. A brief summary of the statutory and regulatory provisions to which the request pertains.
2. A detailed statement of the relevant facts.
3. A detailed discussion and analysis of the law as it relates to the facts.
4. A statement of the legal authority for granting the request.
5. A statement of the reasons a no-action letter is appropriate.
6. A statement explaining any adverse or beneficial effect on the public interest resulting from the granting of the request.
7. A certification that, within the knowledge of the person on whose behalf the request is made, the transaction described is not directly or indirectly the subject of any pending or final judicial, SRO or administrative proceeding.
8. A certification that the transaction described has not been commenced or, if the transaction has commenced, a statement concerning the status.
9. An acknowledgment by the person on whose behalf the request is made that the request, together with any documents or information submitted and any response from the division, is public information that may be released for publication, except as otherwise provided by law.
C. Unless otherwise specified in writing by the division, a no-action letter is limited to the specific security, case, matter, facts, person or transaction described in the request and has no precedential value in any other context.
Structure Arizona Revised Statutes
§ 44-121 - Contracts in writing; consideration
§ 44-131 - Capacity of minor veterans and married minors
§ 44-132 - Capacity of minor to obtain hospital, medical and surgical care; definition
§ 44-132.01 - Capacity of minor to obtain treatment for venereal disease without consent of parent
§ 44-133.01 - Capacity of minor to consent to treatment for use of a dangerous drug or narcotic
§ 44-134 - Capacity for blood donation
§ 44-140.01 - Educational loan; enforceable; prerequisites
§ 44-141 - Joint and several liability of parties to joint obligations
§ 44-161 - Interpretation of contracts, securities and other similar measures; currency; definitions
§ 44-171 - Exemption from licensure, certification, registration or other authorization to act
§ 44-282 - Licensing of sales finance companies required; penalty
§ 44-283 - Denial, suspension or revocation of licenses
§ 44-286 - Requirements and prohibitions as to retail installment contracts
§ 44-287 - Contents of contract
§ 44-288 - Insurance provisions of contract
§ 44-289 - Delinquent contract; recovery; transfer fees; blank spaces in contract
§ 44-290 - Amount of payments; waiver of remedies
§ 44-293 - Motor vehicle; refinancing retail installment contract
§ 44-302 - Presumptions of abandonment
§ 44-303 - Contents of safe deposit box or other safekeeping depository
§ 44-304 - Rules for taking custody
§ 44-306 - Burden of proof as to property evidenced by record of check or draft
§ 44-307 - Report of abandoned property
§ 44-308 - Payment or delivery of abandoned property
§ 44-309 - Notice and publication of abandoned property
§ 44-310 - Custody by state; recovery by holder; defense of holder
§ 44-311 - Crediting of owner's account; interest
§ 44-312 - Public sale of abandoned property
§ 44-314 - Federal deposit insurance corporation trust fund; temporary custody; interest
§ 44-315 - Confidentiality; violation; classification; definitions
§ 44-316 - Claim of another state to recover property
§ 44-317 - Filing claim with department
§ 44-318 - Action to establish claim; attorney fees
§ 44-319 - Election to take payment or delivery
§ 44-321 - Periods of limitation
§ 44-322 - Requests for reports; examination of records
§ 44-323 - Retention of records
§ 44-325 - Interstate agreements and cooperation; joint and reciprocal actions with other states
§ 44-326 - Interest; penalties
§ 44-327 - Agreement to locate property
§ 44-328 - Foreign transactions
§ 44-329 - Transitional provisions
§ 44-331 - Uniformity of application and construction
§ 44-334 - Basis for evaluating employee performance
§ 44-335 - No additional audits or proposed increased demands; exceptions
§ 44-337 - Abatement of interest for errors or delays caused by the department
§ 44-338 - Appeal of determination of amounts due
§ 44-339 - Signatures for documents; alternative methods; definition
§ 44-340 - Auditor contingent fee contracts; notice of rights
§ 44-352 - Acquiring title to loaned property
§ 44-353 - Acquiring title to undocumented property
§ 44-354 - Reclamation of property
§ 44-355 - Museum obligations to the lender
§ 44-356 - Lender obligations to the museum
§ 44-405 - Preservation of secrecy; definition
§ 44-406 - Statute of limitations
§ 44-407 - Effect on other laws
§ 44-1004 - Transfers fraudulent as to present and future creditors
§ 44-1005 - Transfers fraudulent as to present creditors
§ 44-1006 - When transfer is made or obligation is incurred
§ 44-1007 - Remedies of creditors
§ 44-1008 - Defenses, liability and protection of transferee
§ 44-1009 - Extinguishment of claim for relief
§ 44-1010 - Supplementary provisions
§ 44-1035 - Notice of appointment of assignee; publication
§ 44-1038 - Filing of statement of claim by creditors
§ 44-1043 - Attempted preference of creditor void
§ 44-1044 - Garnishment of assignee by nonconsenting creditor
§ 44-1045 - Distribution to creditors; compensation and expenses allowed assignee
§ 44-1047 - Fraudulent transactions by assignor; classification
§ 44-1201 - Rate of interest for loan or indebtedness; interest on judgments
§ 44-1206 - Effect of obligations insured or guaranteed by the United States
§ 44-1207 - Interest on lawful charge, fee, cost or expense
§ 44-1208 - Loans secured by real estate; prohibited practices; insurance
§ 44-1212 - False report to principal by agent; classification
§ 44-1213 - Issuance of get rich quick contract prohibited; classification
§ 44-1214 - Increase of weight of goods sold in container; classification
§ 44-1215 - Salting gold or silver ore to defraud; classification
§ 44-1216 - Fraud on seller of ore; classification
§ 44-1217 - Fraud on creditors by removal, sale or concealment of property; classification
§ 44-1219 - Sale, removal or concealment of encumbered property; classification
§ 44-1220 - Fraudulent insurance claim; classification
§ 44-1220.01 - Fraudulent fire insurance application or claim; classification
§ 44-1221 - Deceptive use of name; classification; attorney general
§ 44-1222 - Unordered merchandise
§ 44-1223 - Fraudulent practices relating to motor vehicle odometers; classification
§ 44-1231.02 - Sale of Indian arts and crafts; inquiry; labels
§ 44-1231.05 - Violation; classification
§ 44-1236 - Certificate of name required; exceptions
§ 44-1242 - Sale under own trademark or brand; authority of manufacturer
§ 44-1244 - Storage; container previously used for different product
§ 44-1245 - Violations; continuing violations; classification
§ 44-1261 - Definitions; exemptions
§ 44-1264 - Reasonable number of attempts to conform motor vehicle to express warranty; presumption
§ 44-1266 - Notice to dealers and prospective purchasers
§ 44-1272 - Telephone seller; registration; business opportunities; late filing penalty
§ 44-1272.01 - Limited registration; penalty; violation; classification
§ 44-1273 - Limited exemptions
§ 44-1274 - Bond; amount; filing; beneficiaries; cancellation
§ 44-1276.01 - Business opportunities; disclosure to consumer
§ 44-1276.02 - Business opportunity contracts in writing; required information
§ 44-1276.03 - Business opportunity contract cancellation
§ 44-1277 - Violation; classification
§ 44-1278 - Unlawful practice; powers of attorney general; cumulative remedies
§ 44-1281 - Duties of secretary of state
§ 44-1282 - National do-not-call registry; prohibitions; enforcement; civil penalty; definition
§ 44-1292 - Identification of aftermarket crash part
§ 44-1293 - Disclosure on use of aftermarket crash part
§ 44-1302 - Sale of new tires; fees; acceptance of waste tires; notice; definition
§ 44-1303 - Waste tire collection sites; registration
§ 44-1304 - Disposal of waste tires
§ 44-1305 - Waste tire fund and program
§ 44-1306 - Department of environmental quality; rules; annual county report to the department
§ 44-1307 - Civil penalties; environmental nuisance
§ 44-1322 - Disposal of lead acid batteries
§ 44-1323 - Sale of lead acid batteries; refundable deposit; notice
§ 44-1324 - Civil penalties; environmental nuisance
§ 44-1326 - Violation; classification
§ 44-1327 - Report to the department of public safety; exemption; violation; classification
§ 44-1341 - Medical sharps; label
§ 44-1342 - Tattoo needles and waste; disposal; civil penalty
§ 44-1354 - Assistive device dealers; lessors; notice
§ 44-1355 - Exemption; waiver of rights; action to recover damages; attorney fees
§ 44-1362 - Check cashing; receipts; notices; government payment instruments; enforcement
§ 44-1366 - Consumer services; delinquency fees; collection fees
§ 44-1367 - Credit card transaction receipts; applicability; enforcement; definition
§ 44-1372.01 - Regulations; powers of attorney general; cumulative remedies; applicability
§ 44-1372.03 - Court proceedings; secrecy
§ 44-1372.05 - Violation; classification
§ 44-1373 - Restricted use of personal identifying information; civil penalty; definition
§ 44-1373.02 - Restricted use of sequential numbers; definition
§ 44-1373.03 - Violation; civil penalty
§ 44-1375.03 - Certification and compliance; violation; civil penalty
§ 44-1376.03 - Unfair or deceptive trade practices
§ 44-1376.04 - Civil causes of action
§ 44-1376.05 - Violation; classification
§ 44-1377 - Disclosure of restocking fee; enforcement; definition
§ 44-1378.02 - Prohibited acts
§ 44-1378.03 - Foreclosure consulting contract
§ 44-1378.04 - Right of cancellation
§ 44-1378.05 - Homeowner action to recover damages
§ 44-1378.06 - Fraud or deceit against homeowner; classification
§ 44-1378.08 - Cumulative nature of penalties
§ 44-1379 - Indemnity agreements in motor carrier transportation contracts void; definitions
§ 44-1380 - Consumer incentive item regulation; state preemption; definition
§ 44-1381 - Operator service providers; collect call rates; disclosure
§ 44-1382 - Transfer of personal property; city, town or county
§ 44-1402 - Contract, combination or conspiracy to restrain or monopolize trade
§ 44-1403 - Establishment, maintenance or use of monopoly
§ 44-1405 - Judicial jurisdiction
§ 44-1406 - Investigation; service of demand sanctions; confidentiality
§ 44-1407 - Civil penalty and injunctive enforcement
§ 44-1408 - Damages; injunctive relief
§ 44-1409 - Judgment as prima facie evidence
§ 44-1410 - Limitations of actions
§ 44-1411 - Remedies cumulative
§ 44-1414 - Order compelling testimony or production of evidence; immunity; contempt
§ 44-1415 - Notice to attorney general; appearance
§ 44-1422 - Bad faith patent infringement claims; prohibited
§ 44-1424 - Federal patent infringement allegation exception
§ 44-1443 - Application for registration
§ 44-1443.01 - Electronic filing; acceptance
§ 44-1444 - Certificate of registration; admissibility as evidence
§ 44-1445 - Duration of registration; renewal notice; application and fee
§ 44-1446 - Assignment of mark and registration
§ 44-1448 - Cancellation of registrations
§ 44-1448.01 - Injury to business reputation; dilution
§ 44-1449 - Classification of goods or services
§ 44-1450 - Fraudulent registration; damages
§ 44-1451 - Remedies for infringement
§ 44-1455 - Use of unauthorized copy of computer software; violation; classification
§ 44-1456 - Use of trademarked container for other articles; violation; classification
§ 44-1460 - Registration of trade name, title or designation
§ 44-1460.01 - Issuance of certificate; restrictions
§ 44-1460.02 - Effective term of registration; renewal; expiration notice
§ 44-1460.03 - Assignment and recording of rights
§ 44-1460.04 - Public examination of records
§ 44-1460.05 - Exclusive rights; common law rights
§ 44-1460.06 - Electronic filing; acceptance
§ 44-1460.07 - Trade name registration cancellation; release for use
§ 44-1481 - Fraudulent advertising practices defined; violation; classification
§ 44-1482 - Unsolicited commercial fax advertisements; definition
§ 44-1503 - Posting of minimum and maximum rates
§ 44-1504 - Accommodations advertised required to be available
§ 44-1505 - False statements prohibited
§ 44-1507 - Violation; classification
§ 44-1522 - Unlawful practices; intended interpretation of provisions
§ 44-1524 - Powers of attorney general
§ 44-1525 - Confidentiality of information or evidence
§ 44-1526 - Subpoena; hearing; rules and regulations
§ 44-1527 - Failure to supply information or obey subpoena; hearing
§ 44-1528 - Remedies; injunction; other reliefs; receiver
§ 44-1529 - Powers of receiver
§ 44-1530 - Assurance of discontinuance of unlawful practice
§ 44-1531 - Violations; civil penalties
§ 44-1531.01 - Consumer protection-consumer fraud revolving fund; use of fund
§ 44-1531.02 - Consumer restitution and remediation revolving fund; subaccounts
§ 44-1532 - Violation of order or injunction; penalty
§ 44-1533 - Cumulative remedies
§ 44-1552 - Disclosures to be made by distributor before conclusion of agreement
§ 44-1553 - Voidable franchises
§ 44-1554 - Prohibited practices
§ 44-1555 - Permitted practices
§ 44-1556 - Termination of franchise; notice; grounds
§ 44-1557 - Required provisions in agreements between distributors and dealers
§ 44-1561 - Arizona commerce authority; fuel price data; availability
§ 44-1562 - Full-service gasoline stations; assistance to drivers with disabilities
§ 44-1566 - Franchise termination
§ 44-1567 - Action for damages; other remedies; defense
§ 44-1602 - Requirements of dealers of precious items; violation; classification
§ 44-1612 - Exemption qualifications
§ 44-1613 - Unlawful moving practices
§ 44-1614 - Delivery and unloading of household goods; exemption
§ 44-1615 - Waiver prohibited; failure to comply with article
§ 44-1616 - Lawful collection of monies
§ 44-1622 - Pawn tickets; requirements
§ 44-1623 - Sale of pledged goods
§ 44-1624 - Pawn transactions; reportable transactions
§ 44-1626 - Interest; fees; payment; military members
§ 44-1627 - Licensing; requirements
§ 44-1628 - Revocation and suspension
§ 44-1630 - False representation
§ 44-1631 - Violations; classification
§ 44-1632 - Pawnshop hours; city or town ordinance
§ 44-1641.02 - Law enforcement; theft notification website
§ 44-1641.03 - Registration; application; information disclosed on website
§ 44-1641.04 - Registration; fees
§ 44-1642.01 - Prohibited scrap metal transactions; exceptions; violation; classification
§ 44-1642.02 - Scrap vehicle purchase; applicable law
§ 44-1643 - Violation; classification
§ 44-1644 - Report; exemption; violation; classification
§ 44-1645 - Applicability; state preemption
§ 44-1647 - Department of public safety; transaction form
§ 44-1648 - Preemption; power of local authorities; city, town or county licensing system
§ 44-1649 - Joint legislative committee on metal theft
§ 44-1652 - Operating bucket shop prohibited; classification
§ 44-1653 - Owner or manager of property permitting bucket shop; classification
§ 44-1655 - Making or offering to make future contract; classification; defense
§ 44-1656 - Acting or offering to act as agent or broker to make future contract; classification
§ 44-1657 - Facts constituting prima facie proof of future contract
§ 44-1658 - Burden of proof in prosecution for making future contract
§ 44-1659 - Injunctive remedy against bucket shop
§ 44-1672 - License required; exemptions
§ 44-1673 - Application for license; contents
§ 44-1677 - Issuance of license
§ 44-1678 - Numbering of inventoried articles; subsequent inventory; intent to defraud
§ 44-1679 - Articles stocked within sixty days prior to application
§ 44-1680 - Representation of articles
§ 44-1681 - Return of purchases; display of notice
§ 44-1682 - Suspension, restoration of licenses; appeal
§ 44-1683 - Licensee's responsibility
§ 44-1684 - Sale of articles described falsely
§ 44-1685 - Application of article; exemptions
§ 44-1686 - Violation; classification
§ 44-1692 - Permissible use of consumer reports
§ 44-1693 - Access to reports by a consumer
§ 44-1694 - Correction of credit reports
§ 44-1696 - Unlawful acts; classification
§ 44-1697 - Fair credit reporting
§ 44-1698 - Security freeze on credit reports and credit scores; fees prohibited; definitions
§ 44-1698.01 - Consumer credit reports; extension of credit; identity theft; definition
§ 44-1698.02 - Security freezes; credit reports; protected person; fee prohibited; definitions
§ 44-1703 - Credit services organizations; prohibited activities
§ 44-1705 - Information statement; contents
§ 44-1706 - Contracts; requirements; contents
§ 44-1707 - Credit service organization's breach of contract or obligation; violation of article
§ 44-1710 - Violation; classification; enforcement
§ 44-1711 - Action for recovery of damages by buyer
§ 44-1712 - Application of other laws; remedies as additional
§ 44-1722 - Registration of name or mark; notice
§ 44-1723 - Unlawful activities; civil action
§ 44-1724 - Damages; costs; attorney fees
§ 44-1725 - Presumption of unauthorized activity
§ 44-1732 - Violation; classification
§ 44-1733 - Sale or contract for sale of interest in pyramid promotional scheme voidable
§ 44-1735 - Pyramid promotional scheme; prohibition; defenses excluded
§ 44-1742 - Written contract required; conspicuous statement of cost; limitation of amount
§ 44-1743 - Limitation on payment period; prohibition against life contract; single contract
§ 44-1744 - Contract; additional provisions required
§ 44-1745 - Execution of notes; assignment; customer's defenses retained
§ 44-1746 - Relief from payment
§ 44-1747 - Voidable contracts; waiver voidable; damages for violation of article
§ 44-1748 - Violation of provisions of article; injunction
§ 44-1752 - Pharmacy benefits managers; prohibitions; applicability
§ 44-1753 - Prescription medications; ninety-day fill; exceptions
§ 44-1754 - Delivery of prescription drugs; disclosure; exception
§ 44-1762 - Solar energy device warranties; installation standards; inspections
§ 44-1763 - Distributed energy generation system agreements; disclosures; exception
§ 44-1764 - Distributed energy generation systems; interconnection
§ 44-1772 - Art dealer and artist; relationship
§ 44-1773 - Purchase or resale of consigned fine art by art dealer
§ 44-1774 - Trust property exempt from claims of art dealer's creditors
§ 44-1775 - Art dealer required to obtain written contract
§ 44-1776 - Art dealer; duties
§ 44-1793 - Contract form; conspicuous statement of costs; duration and cancellation
§ 44-1794 - Execution of notes; assignment; customer's defenses retained
§ 44-1795 - Installment payments
§ 44-1796 - Voidable contracts; waiver voidable; damages
§ 44-1797.01 - Bond; amount; copy; conflict of interest
§ 44-1797.02 - Bond; beneficiaries; actions; liability; cancellation
§ 44-1797.03 - Cash deposit in lieu of bond
§ 44-1797.05 - Written contract; contents
§ 44-1797.06 - Payment or financing period; limitation
§ 44-1797.07 - Availability of services; time
§ 44-1797.11 - Cancellation of contract; time; definition
§ 44-1797.12 - Voidable contracts; reference to compliance with article
§ 44-1797.13 - Misrepresentation; contract void and unenforceable
§ 44-1797.14 - Rescission and pro rata refund; removal of place of business
§ 44-1797.17 - Violation; classification
§ 44-1797.18 - Provisions not exclusive
§ 44-1798.01 - Sales representative contract
§ 44-1798.02 - Termination of sales representative contract; payment of earned commissions
§ 44-1798.03 - Revocable offers of commission
§ 44-1798.04 - Jurisdiction; no waiver; election of remedies
§ 44-1798.21 - Loan servicing; service of process; definitions
§ 44-1799.01 - Initial veterinary examination
§ 44-1799.02 - Information statement; purchaser rights; notice
§ 44-1799.04 - Animal care requirements; violation; classification
§ 44-1799.05 - Purchaser remedies for sale of unfit cats or dogs; requirements; exceptions
§ 44-1799.06 - Contested actions; procedures
§ 44-1799.07 - Presumption of illness
§ 44-1799.08 - Civil penalties; enforcement actions
§ 44-1799.09 - Applicability to other laws; waiver of rights
§ 44-1799.10 - Pet stores; pet dealers; prohibitions on dog and cat purchases; recordkeeping
§ 44-1799.11 - Pet dealer regulation; state preemption
§ 44-1799.21 - Casket sales; price disclosure; definition
§ 44-1799.32 - Prohibition of certain shopping cart activity; applicability; consent; presumption
§ 44-1799.34 - Shopping cart retrieval; records; sign
§ 44-1799.35 - Applicability of article; local ordinances
§ 44-1799.36 - Violation; classification; applicability
§ 44-1799.41 - Heavy equipment rental agreements; requirements; definition
§ 44-1799.51 - Loan information; solicitations; restrictions; injunction; definition
§ 44-1799.61 - Definition of amusement ride
§ 44-1799.63 - Amusement ride owners and operators; requirements; denial of entry
§ 44-1799.71 - Unlawful public sale of animals; civil penalty; definitions
§ 44-1799.92 - Direct primary care agreements; requirements; notice
§ 44-1799.93 - Direct primary care provider; acceptance and discontinuance of patients
§ 44-1799.94 - Direct primary care agreements; fees
§ 44-1799.95 - Direct primary care agreements; dentists
§ 44-1799.96 - Direct primary care agreements; regulation
§ 44-1811 - Director of securities
§ 44-1812 - Assistant director of securities
§ 44-1813 - Employment of personnel; criminal records check
§ 44-1814 - Travel and other necessary expenses of employees
§ 44-1815 - Cooperation with other securities agencies
§ 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
§ 44-1821 - General rule-making power of commission; delegation of authority; limitation
§ 44-1823 - Power to require testimony and production of records; order of nondisclosure
§ 44-1824 - Dealer examination assessment; foreign examination cost; payment
§ 44-1826 - No-action requests
§ 44-3131 - General rule making power of commission; delegation of authority; limitation
§ 44-3133 - Power to require testimony and production of records; order of nondisclosure
§ 44-1841 - Sale of unregistered securities prohibited; classification
§ 44-1842 - Transactions by unregistered dealers and salesmen prohibited; classification
§ 44-1843 - Exempt securities; fee; filing
§ 44-1843.01 - Nonexempt government securities; covered securities; exemptions
§ 44-1843.02 - Special filing requirements for certain exempt or federal covered securities
§ 44-1844 - Exempt transactions
§ 44-1846 - Powers of commission to exempt certain securities or transactions
§ 44-1847 - Power of commission to exempt certain securities or transactions of regulated issuers
§ 44-1849 - Real property investment contracts; recording
§ 44-1850 - Viatical or life settlement investment contracts
§ 44-1861 - Fees; deposit; abandonment
§ 44-1862 - Consent to service of process; service on commission
§ 44-1863 - Receipt of electronic securities filings
§ 44-1871 - Securities that may be registered by description
§ 44-1874 - Registration of additional securities by description
§ 44-1875 - Filing of additional information
§ 44-1876 - Escrow of certain securities; restrictive sales agreement
§ 44-1877 - Escrow of treasury stock; restrictive sales agreement
§ 44-1878 - Impoundment of funds from sale of speculative securities
§ 44-1891 - Registration by qualification
§ 44-1892 - Documents required for application for registration by qualification; fee
§ 44-1895 - Preparation of required financial statements
§ 44-1897 - Amendment or withdrawal of application, prospectus or other documents
§ 44-1899 - Renewal of registration by qualification
§ 44-1900 - Registration of additional securities by qualification
§ 44-1901 - Registration of certain securities by qualification; definitions
§ 44-1921 - Denial of registration by qualification
§ 44-1922 - Revocation of registration by qualification or description; grounds
§ 44-1923 - Order denying or revoking registration; notice to issuer and dealers
§ 44-1924 - Order suspending registration; grounds; hearing; notice
§ 44-1942 - Power of commission or director to require filing of additional information
§ 44-1943 - Power of commission to require bond from dealer
§ 44-1945 - Application for registration as salesman; filing; contents; exemptions
§ 44-1948 - Reporting requirements of dealers and salesmen; real property records
§ 44-1950 - Active military duty; compensation
§ 44-1963 - Entry of order of denial, revocation or suspension
§ 44-1964 - Temporary suspension orders
§ 44-1971 - Initiation of hearing; purpose of hearing
§ 44-1972 - Notice of and opportunity for hearing; time of hearing
§ 44-1973 - Conduct of hearing
§ 44-1991 - Fraud in purchase or sale of securities
§ 44-1992 - Filing of misleading information with commission
§ 44-1993 - Misrepresentation of effect of registration of securities
§ 44-1994 - Misrepresentation of effect of registration of dealers or salesmen
§ 44-1995 - Violation; classification
§ 44-1996 - Prohibition of referral fees
§ 44-1997 - False registration statement; liability
§ 44-1998 - Offers and sales; liability
§ 44-1999 - Controlling persons; liability
§ 44-2000 - Contrary stipulations void
§ 44-2001 - Voidable sale or contract for sale of securities; remedy
§ 44-2002 - Remedy for voidable purchases
§ 44-2004 - Limitation of civil actions
§ 44-2005 - Remedy not exclusive
§ 44-2011 - Petition for appointment of conservator or receiver
§ 44-2012 - Complaint; contents
§ 44-2013 - Preliminary injunction; appointment of temporary conservator or receiver
§ 44-2014 - Permanent injunction; permanent conservator or receiver
§ 44-2015 - Conservator; bond; powers and duties
§ 44-2017 - Compensation of conservators and other personnel
§ 44-2031 - Jurisdiction and venue of offenses and actions; joinder of spouse
§ 44-2033 - Burden of proof of exemptions
§ 44-2034 - Evidence of registration or notice filing; lack of registration or notice filing
§ 44-2035 - Evidence of record of proceedings
§ 44-2036 - Administrative penalty
§ 44-2039 - Securities regulatory and enforcement fund; purpose
§ 44-2040 - Violation; classification
§ 44-2041 - Continuance of prior law for certain purposes
§ 44-2051 - Advancement of economic development and capital formation
§ 44-2052 - Exchange operation; commission rules
§ 44-2053 - Limitation on liability
§ 44-2055 - Securities public reference rooms
§ 44-2081 - Private securities class action litigation
§ 44-2082 - Requirements for securities fraud actions involving misleading statements or omissions
§ 44-2083 - Sanctions for abusive litigation
§ 44-2084 - Right to written interrogatories
§ 44-2085 - Limitation on damages; definition
§ 44-2086 - Attorney fees paid from disgorgement monies; prohibition
§ 44-2087 - Application of safe harbor for forward-looking statements; definitions
§ 44-2121 - Definition of illegal act
§ 44-2122 - Audit requirements
§ 44-2123 - Audit discoveries; required responses
§ 44-2124 - Auditor liability limitation
§ 44-2125 - Civil penalties in cease and desist proceedings
§ 44-2126 - Preservation of existing authority
§ 44-3102 - Interpretations by commission
§ 44-3151 - Licensure required; exclusion; violation; classification
§ 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 - Expiration, renewal or transfer of licensure; automatic suspension
§ 44-3159 - Reporting requirements
§ 44-3181 - Fees; penalties; abandonment
§ 44-3201 - Grounds for denial, revocation or suspension of license; administrative remedies
§ 44-3202 - Entry of order of denial, suspension or revocation
§ 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
§ 44-3241 - Fraud in provision of investment advisory services; liability; violation; classification
§ 44-3271 - Petition for appointment of conservators and receivers
§ 44-3272 - Conservators and receivers
§ 44-3291 - Jurisdiction and venue of offenses and actions; joinder of spouse
§ 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
§ 44-3298 - Investment management regulatory and enforcement fund; purpose
§ 44-3299 - State liability; limitation
§ 44-3321 - Notice filings by open-end companies and unit investment trusts
§ 44-3322 - Amount and term of securities subject to notice filing
§ 44-3324 - Notice filing fees
§ 44-3325 - Notice filings by closed-end companies
§ 44-5002 - Cancellation period; method of cancellation; intent; waiver void
§ 44-5003 - Referral sales, rebate or discount violations
§ 44-5004 - Agreement requirements
§ 44-5006 - Time limitation; disposition of goods
§ 44-5007 - Buyer responsibility; services
§ 44-5008 - Violation; classification
§ 44-5101 - Wholesale buyers; wholesale sellers; disclosure; unlawful practice; definitions
§ 44-6002 - Retail installment contracts; retail charge account agreements; definitions
§ 44-6004 - Assignment or transfers
§ 44-6005 - Periodic statements required
§ 44-6006 - Violation; bar to recovery
§ 44-6501 - Authorization to apply for foreign trade zone
§ 44-6561 - Unlawful acts or practices; violation; classification; civil penalty
§ 44-6702 - Prohibited acts of supplier
§ 44-6703 - Dealer agreements; cancellation
§ 44-6704 - Surplus parts inventory; credits
§ 44-6705 - Cancellation of dealer agreement; repurchase
§ 44-6706 - Repurchase; title; security interest
§ 44-6707 - Death of equipment dealer; definition
§ 44-6708 - Cause of action; remedies
§ 44-6709 - Current agreements; effect of law; void provisions
§ 44-6751 - Investment of pension funds
§ 44-6803 - General requirements of disclosure
§ 44-6805 - Prohibited rental-purchase agreement terms; practices
§ 44-6806 - Collection practices
§ 44-6811 - Enforcement; penalties
§ 44-6812 - Lessor's defenses; definition
§ 44-6813 - Assignment of a rental-purchase agreement
§ 44-6852 - Dishonored checks; service fee
§ 44-6952 - Senior residential entrance fee contracts; provider registration; registration fee
§ 44-6953 - Maintaining valid registration
§ 44-6954 - Senior residential entrance fee contracts; offer; rescission; disclosure
§ 44-7004 - Prospective application
§ 44-7005 - Use of electronic records and signatures; variation by agreement
§ 44-7006 - Construction; application
§ 44-7007 - Legal recognition of electronic records, signatures and contracts; definition
§ 44-7008 - Provision of information in writing; presentation of records
§ 44-7009 - Attribution and effect of electronic record and signature
§ 44-7010 - Effect of change or error
§ 44-7011 - Notarization; acknowledgment
§ 44-7012 - Electronic records retention; originals; definition
§ 44-7013 - Admissibility in evidence
§ 44-7014 - Automated transaction contracts
§ 44-7015 - Time and place of sending and receipt
§ 44-7016 - Transferable records; definition
§ 44-7031 - Secure electronic signatures
§ 44-7032 - Secure electronic records
§ 44-7034 - Electronic notarization; acknowledgment
§ 44-7041 - Creation; retention; conversion of written records
§ 44-7042 - Sending and accepting electronic records; exemption
§ 44-7051 - Consumer protection
§ 44-7052 - Electronic delivery of written communications; exception; definition
§ 44-7101 - Tobacco product manufacturers escrow accounts; model statute
§ 44-7111 - Tobacco; nonparticipating manufacturers; civil penalty; violation; classification
§ 44-7152 - Dating referral services contracts
§ 44-7153 - Rescission; refunds; definition
§ 44-7154 - Prohibited contract provisions; prohibited acts
§ 44-7155 - Damages; attorney fees
§ 44-7156 - Enforcement by attorney general
§ 44-7157 - Fraud ban disclosures
§ 44-7402 - Gift card fees prohibited; underlying monies expiration date prohibited; civil penalty
§ 44-7802 - Acceptance of credit card agreement
§ 44-7803 - Consumer credit cardholder liability
§ 44-7804 - Establishment of amount owed on a credit card account
§ 44-7805 - Establishment of interest rate
§ 44-7806 - Consumer protection rights
§ 44-7852 - Private party firearms transfer; state or political subdivision encumbrance prohibited
§ 44-7902 - Mugshot website operators; prohibited acts; exceptions
§ 44-7951 - Businesses exempt from mask mandate
§ 44-8002 - Direct-to-consumer genetic testing company requirements; prohibition
§ 44-8004 - Enforcement; violation; civil penalty; damages; costs; attorney fees
§ 44-8021 - Dog or cat possession; microchip scan; owner notification; definition