§ 7706. Filing fee.
§ 7706. Filing fee. No certificate accepting ADR or revoking ADR shall be filed unless it shall be accompanied by the payment of $1,000 to the State, except that the filing fee shall be $100 for every corporation, limited partnership, statutory trust, limited liability company or other entity organized under the laws of the State. […]
§ 73-602. Injunctions.
§ 73-602. Injunctions. Whenever it appears to the Director that any person has engaged or is about to engage in any act or practice constituting a violation of any provision of this chapter or any rule or order hereunder, the Director may in the Director’s own discretion bring an action in the Court of Chancery […]
§ 73-603. Escrow of funds.
§ 73-603. Escrow of funds. Whenever the Director shall deem it necessary in the public interest the Director may require that the proceeds of sale of the securities of an issuer be held intact until such proceeds aggregate a fixed amount and that such proceeds be held intact under an appropriate agreement of escrow with […]
§ 73-604. Criminal penalties.
§ 73-604. Criminal penalties. (a) Fraud of $50,000 or more; class E felony. — Any person who wilfully violates § 73-201 of this title, thereby causing any investor or investors to lose $50,000 or more, shall upon conviction be fined not more than $200,000 or imprisoned not more than 5 years at Level V incarceration, […]
§ 73-605. Civil liabilities.
§ 73-605. Civil liabilities. (a) Any person who: (1) Offers or sells a security in violation of § 73-302, § 73-301 or § 73-210(b) of this title, or of any rule or order under § 73-211 of this title which requires the affirmative approval of sales literature before it is used, or of any condition […]
§ 73-701. Administrative files.
§ 73-701. Administrative files. (a) A document is filed when it is received by the Director or a designee as stipulated by rule or order. Other than filing fees, the Director may waive document filing requirements. (b) The information contained in or filed with any registration statement, application, report or filing may be made available […]
§ 73-702. Service of process.
§ 73-702. Service of process. Every applicant for registration under this chapter, every person making a notice filing pursuant to this chapter, and every issuer which proposes to offer a security in this State through any person acting on an agency basis in the common-law sense shall file with the Director, in such form as […]
§ 73-703. Investor protection fund.
§ 73-703. Investor protection fund. (a) All moneys as described in subsection (b) of this section shall be credited by the State Treasurer to a fund to be known as the “Investor Protection Fund.” (b) The Investor Protection Fund will be a revolving fund and shall be funded as follows: (1) Beginning on July 1 […]
§ 73-704. Liability of Attorney General.
§ 73-704. Liability of Attorney General. In no case shall the Attorney General or the Director, or any person designated by them, in the administration of this chapter incur any official or personal liability by instituting an injunction or any judicial proceeding, or administrative order or proceeding. 6 Del. C. 1953, § 7328; 59 Del. […]
§ 7501. Definitions.
§ 7501. Definitions. As used in this chapter, unless the context requires otherwise, the following words and phrases shall mean: (1) “Private corporation” shall mean a general and business or a general not-for-profit corporation organized under the laws of this State. (2) “Public corporation” shall mean this State, a political subdivision thereof, a corporate instrumentality […]