Chapter 13. Investment Management

Article 1. Definitions

• § 44-3101. Definitions
• § 44-3102. Interpretations By Commission

Article 2. Administrative Personnel

• § 44-3111. Director of Securities
• § 44-3112. Assistant Director of Securities
• § 44-3113. Employment of Personnel
• § 44-3114. Travel and Other Necessary Expenses of Employees
• § 44-3115. Cooperation With Other Agencies

Article 3. General Administrative Powers

• § 44-3131. General Rule Making Power of Commission; Delegation of Authority; Limitation
• § 44-3132. Investigations
• § 44-3133. Power to Require Testimony and Production of Records; Order of Nondisclosure
• § 44-3134. Contempt; Penalty
• § 44-3135. No-Action Letters

Article 4. Licensure of Investment Advisers and Investment Adviser Representatives

• § 44-3151. Licensure Required; Exclusion; Violation; Classification
• § 44-3152. Exemption of Certain Investment Advisers and Investment Adviser Representatives
• § 44-3153. Application For Licensure As Investment Adviser; Notice Filings By Federal Covered Advisers
• § 44-3154. Licensure Application; Additional Information
• § 44-3155. Investment Adviser License; Notification
• § 44-3156. Application For Licensure As Investment Adviser Representative
• § 44-3157. Investment Adviser Representative License; Notification
• § 44-3158. Expiration, Renewal Or Transfer of Licensure; Automatic Suspension
• § 44-3159. Reporting Requirements

Article 5. Fees

• § 44-3181. Fees; Penalties; Abandonment

Article 6. Denial, Revocation Or Suspension of License

• § 44-3201. Grounds For Denial, Revocation Or Suspension of License; Administrative Remedies
• § 44-3202. Entry of Order of Denial, Suspension Or Revocation

Article 7. Hearings

• § 44-3211. Initiation of Hearing; Purpose of Hearing
• § 44-3212. Notice of an Opportunity For a Hearing; Time of Hearing
• § 44-3213. Conduct of Hearing
• § 44-3214. Rehearings

Article 8. Appeals

• § 44-3231. Judicial Review

Article 9. Fraudulent Practices

• § 44-3241. Fraud In Provision of Investment Advisory Services; Liability; Violation; Classification

Article 10. Conservators and Receivers

• § 44-3271. Petition For Appointment of Conservators and Receivers
• § 44-3272. Conservators and Receivers

Article 11. Enforcement

• § 44-3291. Jurisdiction and Venue of Offenses and Actions; Joinder of Spouse
• § 44-3292. Cease and Desist Orders; Injunctions; Civil Restitution; Prosecutions For Violations
• § 44-3293. Burden of Proof of Exemptions
• § 44-3294. Evidence of Licensure Or Lack of Licensure
• § 44-3295. Evidence of Record of Proceedings
• § 44-3296. Administrative Penalty
• § 44-3297. Costs Recoverable
• § 44-3298. Investment Management Regulatory and Enforcement Fund; Purpose
• § 44-3299. State Liability; Limitation
• § 44-3300. Confidentiality

Article 12. Notice of Filings of Certain Investment Companies

• § 44-3321. Notice Filings By Open-End Companies and Unit Investment Trusts
• § 44-3322. Amount and Term of Securities Subject to Notice Filing
• § 44-3323. Sales Reports
• § 44-3324. Notice Filing Fees
• § 44-3325. Notice Filings By Closed-End Companies