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Subchapter I. Introductory Provisions
§ 73-101. Short title; purpose. - (a) This chapter shall be known and may be cited...
§ 73-102. Administration of chapter. - (a) This chapter shall be administered by the Attorney General...
§ 73-103. Definitions. - (a) Generally. — When used in this chapter, unless the...
Subchapter II. Provisions Relating to the Offer, Sale, and Purchase of Securities
§ 73-201. Fraud. - It is unlawful for any person, in connection with the...
§ 73-202. Registration of and notice filing for securities. - It is unlawful for any person to offer or sell...
§ 73-203. Registration of securities by coordination. - (a) Any security for which a registration statement has been...
§ 73-204. Registration of securities by qualification. - (a) Any security may be registered by qualification. (b) A...
§ 73-205. Provisions applicable to registration of securities generally. - (a) A registration statement may be filed by the issuer,...
§ 73-206. Stop orders. - (a) Subject to § 73-208(e) of this title, the Director...
§ 73-207. Exemptions. - (a) The following securities are exempted from §§ 73-202, 73-208...
§ 73-208. Federal covered securities. - (a) The Director, by rule or order, may require the...
§ 73-209. Misleading filings. - It is unlawful for any person to make or cause...
§ 73-210. Unlawful representations concerning registration, notice filing or exemption. - (a) Neither the fact that a notice filing under this...
§ 73-211. Filing of sales and advertising literature. - The Director may by rule or order require the filing...
Subchapter III. Provisions Relating to Broker-Dealers, Broker-Dealer Agents, Issuer Agents, Investment Advisers, Federal Covered Advisers, and Investment Adviser Representatives
§ 73-301. Unlawful conduct for broker-dealers, agents, investment advisers, federal covered advisers and investment adviser representatives. - (a) It is unlawful for any person to transact business...
§ 73-302. Registration and notice filing procedure for broker-dealers, agents, investment advisers, federal covered advisers and investment adviser representatives. - (a) A broker-dealer, agent, investment adviser or investment adviser representative...
§ 73-303. Post-registration provisions for broker-dealers, investment advisers and federal covered advisers. - (a) Every registered broker-dealer and investment adviser shall make and...
§ 73-304. Denial, revocation, suspension, cancellation and withdrawal of registration of broker-dealers, agents, investment advisers and investment adviser representatives. - (a) The Director may by order deny, suspend or revoke...
§ 73-305. Advisory activities. - (a) It is unlawful for an investment adviser, federal covered...
§ 73-306. Trading markets. - (a) It is unlawful for any broker-dealer, agent, investment adviser...
§ 73-307. Protection of vulnerable adults from financial exploitation. - (a) If a qualified individual reasonably believes that financial exploitation...
Subchapter IV. Provisions Relating to Investigations
§ 73-401. Authority to investigate. - The Director, in the Director's own discretion, may make such...
§ 73-402. Subpoena power. - For the purpose of any investigation or proceeding under this...
§ 73-403. Failure to comply with subpoena. - In case of contumacy by, or refusal to obey a...
§ 73-404. Immunity from prosecution. - No person is excused from attending and testifying or from...
Subchapter V. Administrative Enforcement Proceedings
§ 73-501. Authority to prosecute administrative enforcement proceedings. - The Investor Protection Unit, under the direction of the Director,...
§ 73-502. Judicial review. - (a) Any party aggrieved by an order of the Director...
§ 73-503. Statute of limitations. - (a) In any administrative, civil or criminal action brought by...
Subchapter VI. Remedies for Violations
§ 73-601. Administrative remedies. - (a) In any administrative proceeding before the Director, the Director...
§ 73-602. Injunctions. - Whenever it appears to the Director that any person has...
§ 73-603. Escrow of funds. - Whenever the Director shall deem it necessary in the public...
§ 73-604. Criminal penalties. - (a) Fraud of $50,000 or more; class E felony. —...
§ 73-605. Civil liabilities. - (a) Any person who: (1) Offers or sells a security...
Subchapter VII. Miscellaneous Provisions
§ 73-701. Administrative files. - (a) A document is filed when it is received by...
§ 73-702. Service of process. - Every applicant for registration under this chapter, every person making...
§ 73-703. Investor protection fund. - (a) All moneys as described in subsection (b) of this...
§ 73-704. Liability of Attorney General. - In no case shall the Attorney General or the Director,...