Section 409.7-703 – Application of act to existing proceedings and existing rights and duties.
Effective – 01 Sep 2003 409.7-703. Application of act to existing proceedings and existing rights and duties. — (a) The predecessor act exclusively governs all actions or proceedings that are pending on September 1, 2003, or may be instituted on the basis of conduct occurring before September 1, 2003, but a civil action may not […]
Section 409.6-605 – Rules, forms, orders, interpretive opinions, and hearings.
Effective – 01 Sep 2003 409.6-605. Rules, forms, orders, interpretive opinions, and hearings. — (a) The commissioner may: (1) Issue forms and orders and, after notice and comment, may adopt and amend rules necessary or appropriate to carry out this act and may repeal rules, including rules and forms governing registration statements, applications, notice filings, […]
Section 409.6-606 – Administrative files and opinions.
Effective – 01 Sep 2003 409.6-606. Administrative files and opinions. — (a) The commissioner shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice filings; applications for registration of broker-dealers, agents, investment advisers, and investment adviser representatives; notice filings by federal covered investment advisers that are […]
Section 409.6-607 – Public records; confidentiality.
Effective – 01 Sep 2003 409.6-607. Public records; confidentiality. — (a) Except as otherwise provided in subsection (b), records obtained by the commissioner or filed under this act, including a record contained in or filed with a registration statement, application, notice filing, or report, are public records and are available for public examination. (b) The […]
Section 409.6-608 – Uniformity and cooperation with other agencies.
Effective – 01 Sep 2003 409.6-608. Uniformity and cooperation with other agencies. — (a) The commissioner shall, in the discretion of the commissioner, cooperate, coordinate, consult, and, subject to section 409.6-607, share records and information with the securities regulator of another state, Canada, a Canadian province or territory, a foreign jurisdiction, the Securities and Exchange […]
Section 409.6-609 – Judicial review.
Effective – 01 Sep 2003 409.6-609. Judicial review. — (a) Except as otherwise provided in this act, any interested person aggrieved by any order of the commissioner under any provision of this act, or by any refusal or failure of the commissioner to make an order pursuant to any of said provisions, shall be entitled […]
Section 409.6-610 – Jurisdiction.
Effective – 01 Sep 2003 409.6-610. Jurisdiction. — (a) Sections 409.3-301, 409.3-302, 409.4-401(a), 409.4-402(a), 409.4-403(a), 409.4-404(a), 409.5-501, 409.5-506, 409.5-509, and 409.5-510 do not apply to a person that sells or offers to sell a security unless the offer to sell or the sale is made in this state or the offer to purchase or the […]
Section 409.6-611 – Service of process.
Effective – 01 Sep 2003 409.6-611. Service of process. — (a) A consent to service of process complying with section 409.6-611 required by this act must be signed and filed in the form required by a rule or order under this act. A consent appointing the commissioner the person’s agent for service of process in […]
Section 409.6-612 – Severability clause.
Effective – 01 Sep 2003 409.6-612. Severability clause. — If any provision of this act or its application to any person or circumstances is held invalid, the invalidity does not affect other provisions or applications of this act that can be given effect without the invalid provision or application, and to this end the provisions […]
Section 409.7-701 – Effective date.
Effective – 01 Sep 2003 409.7-701. Effective date. — This act takes effect on September 1, 2003. ——– (L. 2003 H.B. 380) Effective 9-01-03