§32-2-203. Post-Registration Provisions
(a) Every registered broker-dealer and investment adviser shall make and keep such accounts, correspondence, memoranda, papers, books and other records as the commissioner prescribes by rule or order, except as provided by section fifteen of the Securities Exchange Act of 1934 (in the case of a broker-dealer) and section 222 of the Investment Advisers Act […]
§32-2-204. Denial, Revocation, Suspension, Otherwise Condition, Cancellation and Withdrawal of Registration
(a) The commissioner may by order deny, suspend, otherwise condition or revoke any registration if he or she finds: (1) That the order is in the public interest; and (2) that the applicant or registrant or, in the case of a broker-dealer or investment adviser, any partner, officer or director, any person occupying a similar […]
§32-3-301. Registration Requirement
It is unlawful for any person to offer or sell any security in this state unless: (1) It is registered under this chapter; or (2) the security or transaction is exempted under section four hundred two of article four of this chapter or under article five of this chapter; or (3) the security is a […]
§32-3-302. Registration by Notification
(a) The following securities may be registered by notification, whether or not they are also eligible for registration by coordination under section 303: (1) Any security, other than a security with a fixed maturity or a fixed interest or dividend provision, whose issuer and any predecessors have been in continuous operation for at least five […]
§32-1-101. Sales and Purchases
It is unlawful for any person, in connection with the offer, sale or purchase of any security, directly or indirectly (1) To employ any device, scheme or artifice to defraud;
§32-1-102. Advisory Activities
(a) It is unlawful for any person who receives any consideration from another person primarily for advising the other person as to the value of securities or their purchase or sale, whether through the issuance of analyses or reports or otherwise, (1) To employ any device, scheme or artifice to defraud the other person; or
§32-2-201. Registration Requirement
(a) It is unlawful for any person to transact business in this state as a broker-dealer or agent unless he or she is registered under this chapter. (b) It is unlawful for any broker-dealer or issuer to employ an agent unless the agent is registered. The registration of an agent is not effective during any […]