US Lawyer Database

§46A-6F-214. Inapplicability of Article to Issuer of Certain Securities

The provisions of this article do not apply to an issuer or a subsidiary of an issuer that has a class of securities which is subject to §12 of the Securities Exchange Act of 1934 (15 U.S.C. §781) and which is either registered or exempt from registration under paragraphs (A), (B), (C), (E), (F), (G), […]

§46A-6F-113. Telemarketer

(a) ?Telemarketer" means any person who initiates or receives telephone calls to or from a consumer in this state for the purpose of making a telemarketing solicitation as defined in section one hundred twelve of this article. (b) A telemarketer may initiate or receive a communication that constitutes a telemarketing solicitation on his own behalf, […]

§46A-6F-114. Telemarketer in Good Standing

?Telemarketer in good standing" means a telemarketer who, during the previous two years has continually been engaged in the business of telemarketing and who has not been convicted, or pled guilty or nolo contendere to racketeering, embezzlement, fraudulent conversion, misappropriation of property or any violations of state or federal securities laws, a theft offense, or […]

§46A-6F-201. Inapplicability of Registration and Bonding Provisions of This Article to Charitable Organizations

§46A-6F-201. Inapplicability of registration and bonding provisions of this article to charitable organizations. A charitable organization that is exempt from filing an annual registration statement with the Secretary of State under the provisions of section six, article nineteen, chapter twenty-nine of this code is exempt from the registration and bonding provisions of this article when […]

§46A-6F-203. Inapplicability of Article to Licensed Associated Person of a Securities, Commodities, or Investment Broker, Dealer, or Investment Adviser

The provisions of this article do not apply to any licensed associated person of a securities, commodities, or investment broker, dealer, or investment adviser, when soliciting within the scope of his license. As used in this section, ?licensed associated person of a securities, commodities, or investment broker, dealer, or investment adviser" means any associated person […]