Section 421-B:6-602 – Investigations and Subpoenas.
421-B:6-602 Investigations and Subpoenas. – (a) Authority to investigate. The secretary of state may: (1) conduct public or private investigations within or outside of this state that the secretary of state considers necessary or appropriate to determine whether any person has violated, is violating, or is about to violate this chapter or an order […]
Section 421-B:6-603 – Civil Enforcement.
421-B:6-603 Civil Enforcement. – (a) Civil action instituted by attorney general or secretary of state. If it appears to the attorney general or secretary of state that a person has engaged, is engaging, or is about to engage in an act, practice, or course of business constituting a violation of this chapter or an […]
Section 421-B:6-604 – Administrative Enforcement.
421-B:6-604 Administrative Enforcement. – (a) Issuance of an order or notice. If the secretary of state determines that a person has engaged, is engaging, or is about to engage, in an act, practice, or course of business constituting a violation of this chapter or an order issued under this chapter, or that a person […]
Section 421-B:6-605 – Orders, Interpretative Opinions, and Hearings.
421-B:6-605 Orders, Interpretative Opinions, and Hearings. – (a) Issuance and adoption of forms, orders, and rules. The secretary of state may by order, define terms, whether or not used in this chapter, when those definitions are not inconsistent with this chapter. (b) Findings and cooperation. All actions undertaken by the secretary of state pursuant […]
Section 421-B:6-606 – Administrative Files and Opinions.
421-B:6-606 Administrative Files and Opinions. – (a) Public register of filings. The secretary of state shall maintain a register of all 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 or have been […]
Section 421-B:6-607 – Public Records; Confidentiality.
421-B:6-607 Public Records; Confidentiality. – (a) Presumption of public records. Except as otherwise provided in subsection (b), records obtained by the secretary of state or filed under this chapter, including a record contained in or filed with any registration statement, application, notice filing, or report, are public records and are available for public examination. […]
Section 421-B:5-503 – Evidentiary Burden.
421-B:5-503 Evidentiary Burden. – (a) Civil. In a civil action or administrative proceeding under this chapter, a person claiming an exemption, exception, preemption, or exclusion has the burden to prove the applicability of the claim. (b) Criminal. In a criminal proceeding under this chapter, a person claiming an exemption, exception, preemption, or exclusion has […]
Section 421-B:5-504 – Filing of Sales and Advertising Literature.
421-B:5-504 Filing of Sales and Advertising Literature. – (a) Filing requirement. Except as otherwise provided in subsection (b), an order issued under this chapter may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution […]
Section 421-B:5-505 – Misleading Filings.
421-B:5-505 Misleading Filings. – It is unlawful for a person to make or cause to be made, in a record that is used in an action or proceeding or filed under this chapter, a statement that, at the time and in the light of the circumstances under which it is made, is false or […]
Section 421-B:5-506 – Misrepresentations Concerning Registration or Exemption.
421-B:5-506 Misrepresentations Concerning Registration or Exemption. – The filing of an application for registration, a registration statement, a notice filing under this chapter, the registration of a person, the notice filing by a person, or the registration of a security under this chapter does not constitute a finding by the secretary of state that […]