||Construction of chapter.
||Administration of chapter.
||Rules, forms, orders and hearings.
||Administrative files and opinions.
||Filing of sales and advertising literature.
||Unlawful representations concerning registration or exemption.
||Acts in this state making chapter applicable.
||Effect of chapter on pending proceedings or existing rights
||Effect of chapter on registrations under prior law.
||Effect of chapter on offerings or sales begun under prior
||Effect of chapter on proceedings for judicial review of
||State exemption from federal Philanthropy Protection Act.
||Denial or revocation of specific exemptions; notice; hearings;
||Burden of proving exemption or exception.
||Registration of broker-dealers and agents required; notice
of employment or termination of agent.
||Registration of investment advisers and investment adviser
representatives; notice of employment or termination of investment adviser
||Expiration of registration.
||Application for registration.
||Effective date of registration.
||Registration of broker-dealer constitutes registration of
agent; registration of investment adviser constitutes registration of investment
||Registration of successors to broker-dealers or investment
||Minimum capital rules.
||Surety bond; terms and conditions.
||Denial, suspension or revocation of registration; grounds
||Additional provisions governing denial, suspension or revocation
of registration for lack of qualifications.
||Summary postponement or suspension of registration; notice;
||Cancellation of registration or application.
||Withdrawal from registration; effect on revocation or suspension
||Notice, hearing and written findings and conclusions required;
||Registration or exemption required.
||Registration by coordination.
||Registration by qualification.
||Persons entitled to file registration statements.
||[Filing of federal covered securities.]
||Information required in all registration statements.
||Permitting omission of information or document from registration
||Certain information not to be required in non-issuer distributions.
||Conditions imposable on registrations by qualification or
||Duration of registration statements; outstanding securities
of same class; withdrawals.
||Reports may be required while registration statement is
effective; filing fee.
||Amendment to registration statement to increase amount of
offering of certain securities; effective date; fee.
||Denial, suspension or revocation of effectiveness of registration
statement; stop order; grounds therefor.
||Summary temporary postponement or suspension of effectiveness
of registration statement; notice; hearing.
||Notice, hearing and written findings and conclusions required
for stop order; exception.
||Vacation or modification of stop order.
||Fraud or deceit in connection with offers, sales or purchases.
||Prohibited practices concerning fraud, deceit, lack of disclosure;
requirements as to investment advisory contracts; custody of securities
or funds by investment adviser.
||Petition for judicial review of order; venue; scope of review.
||Adduction of additional evidence; hearing before secretary
of state; modification of original findings and order.
||Court order necessary to stay administrative order under
||Appointment of secretary of state as agent for service of
civil process; manner of service; notice to defendant; affidavit of compliance.
||Violation of chapter equivalent to appointment of secretary
of state as agent for service of civil process; manner of service; notice
to defendant; affidavit of compliance.
||Continuance to allow opportunity to defend when service
of process is on secretary of state as agent.
||Investigations by secretary of state.
||Powers of secretary of state as to witnesses and evidence.
||Application to court for order compelling obedience of witness.
||Immunity of witness compelled to give evidence.
||Secretary of State may issue cease and desist order, impose
administrative penalty, or sue for injunction, restraining order or mandamus;
orders of rescession, restitution or disgorgement; civil penalty.
||Liability to buyers for illegal or fraudulent sales or offers.
||Persons jointly and severally liable with seller; contribution.
||Time for making tender.
||Survival of causes of action.
||Limitation of actions.
||Person violating chapter may not sue on illegal contract.
||Waiver of compliance with chapter is void.
||Rights and remedies of chapter are additional.
||Power to punish crimes not limited by chapter.
||Penalties for violation of chapter; limitation.