It is unlawful for a person to offer or sell a security in this State unless: (1) the security is a federal covered security; (2) the security, transaction, or offer is exempted from registration under sections 611 through 613; or (3) the security is registered under this chapter.
(a) A rule adopted or order issued under this Chapter may require the filing of any or all of the following records with respect to a security issued by an investment company that is a federal covered security, as defined in Section 18(b)(2) of the Securities Act of 1933 (15 U.S.C. Section 77r(b)(2)) that is […]
(a) A security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination under this section. (b) A registration statement and accompanying records under this Section must contain or be accompanied by the following records in addition to the information […]
(a) A security may be registered by qualification under this section. (b) A registration statement under this section must contain the information specified in section 625, a consent to service of process complying with section 671, and, if required by rule adopted under this chapter, the following information and the following records: (1) with respect […]
(a) A registration statement may be filed by the issuer, a person on whose behalf the offering is to be made, or a broker-dealer registered under this chapter. (b) A person filing a registration statement shall pay a filing fee established by rule issued or order adopted by the Administrator. If a registration statement is […]
(a) The Administrator may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, a registration statement if the Administrator finds that the order is in the public interest and that: (1) the registration statement as of its effective date or before the effective date in the case of an order […]
The Administrator may waive or modify any or all of the requirements of sections 622, 623, and 624(b) or the requirement of any information or record in a registration statement or in a periodic report pursuant to section 625(i).
