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Section 30-14-501 - GENERAL FRAUD. - 30-14-501. GENERAL FRAUD. It is unlawful for a person, in...
Section 30-14-502 - PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE. - 30-14-502. PROHIBITED CONDUCT IN PROVIDING INVESTMENT ADVICE. (a) Fraud in...
Section 30-14-503 - EVIDENTIARY BURDEN. - 30-14-503. EVIDENTIARY BURDEN. (a) Civil. In a civil action or...
Section 30-14-504 - FILING OF SALES AND ADVERTISING LITERATURE. - 30-14-504. FILING OF SALES AND ADVERTISING LITERATURE. (a) Filing requirement....
Section 30-14-505 - MISLEADING FILINGS. - 30-14-505. MISLEADING FILINGS. It is unlawful for a person to...
Section 30-14-506 - MISREPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION. - 30-14-506. MISREPRESENTATIONS CONCERNING REGISTRATION OR EXEMPTION. The filing of an...
Section 30-14-507 - QUALIFIED IMMUNITY. - 30-14-507. QUALIFIED IMMUNITY. A broker-dealer, agent, investment adviser, federal covered...
Section 30-14-508 - CRIMINAL PENALTIES. - 30-14-508. CRIMINAL PENALTIES. (a) Criminal penalties. A person that willfully...
Section 30-14-509 - CIVIL LIABILITY. - 30-14-509. CIVIL LIABILITY. (a) Securities litigation uniform standards act. Enforcement...
Section 30-14-510 - RESCISSION OFFERS. - 30-14-510. RESCISSION OFFERS. A purchaser, seller, or recipient of investment...