§ 5504. Filing of sales and advertising literature
§ 5504. Filing of sales and advertising literature (a) Except as otherwise provided in subsection (b) of this section, a rule adopted or 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 […]
§ 5505. Misleading filings
§ 5505. 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 misleading […]
§ 5506. Misrepresentations concerning registration or exemption
§ 5506. 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 Commissioner that a record filed […]
§ 5507. Qualified immunity
§ 5507. Qualified immunity A broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative is not liable to another broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative for defamation relating to a statement that is contained in a record required by the Commissioner, or designee of the Commissioner, […]
§ 5508. Criminal penalties
§ 5508. Criminal penalties (a)(1) Upon conviction, any person shall be fined not more than $100,000.00 or imprisoned not more than five years, or both who: (A) willfully violates this chapter, or a rule adopted or order issued under this chapter, except section 5504 of this chapter or the notice filing requirements of section 5302 […]
§ 5405. Federal covered investment adviser notice filing requirement
§ 5405. Federal covered investment adviser notice filing requirement (a) Except with respect to a federal covered investment adviser described in subsection (b) of this section, it is unlawful for a federal covered investment adviser to transact business in this State as a federal covered investment adviser unless the federal covered investment adviser complies with […]
§ 5406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative
§ 5406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative (a) A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service of process complying with section 5611 of this chapter, and paying the fee specified in section 5410 of this […]
§ 5407. Succession and change in registration of broker-dealer or investment adviser
§ 5407. Succession and change in registration of broker-dealer or investment adviser (a) A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed to the current registration of an investment […]
§ 5408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association
§ 5408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association (a) If an agent registered under this chapter terminates employment by or association with a broker-dealer or issuer, or if an investment adviser representative registered under this chapter terminates employment by or association with an investment […]
§ 5409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative
§ 5409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective 60 days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this chapter unless […]