SECURITIES
Form, 59.285
Official publication aid
General Index
Browse the Legislature’s Quick Search and A–Z subject entries. Citation links open the matching section in this edition.
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9,101–9,200 of 24,135 entries · 211 printed pages
Printed page 78, column 2
SECURITIES
Fines and penalties
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Civil penalties, 59.995
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Criminal penalties, 59.991
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Fines, court-ordered, 59.255, 59.331
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Foreign government securities, registration, exempt, 59.025, 59.045
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Forgery, 165.013
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Fraternal organizations, registration exemption, 59.025
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Fraud
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Broker-dealers, license, revocation, 59.205, 59.235
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Defined, 59.015
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Exemptions, withdrawal, 59.045
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Investment advisers, license, revocation, 59.205, 59.235
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Mortgage brokers, license, revocation, 59.205
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Registration, revocation, denial, 59.095, 59.105
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Sale, 59.135, 59.137, 59.205, 59.235, 59.335
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Salespersons, license, revocation, 59.205, 59.235
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Gifts, see GIFTS AND DONATIONS, generally
See GIFTS AND DONATIONS
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Government ethics investment activity statements, 244.055, 244.110, 244.355
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Guaranteed, defined, 59.015
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Hearings
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(Generally), 59.295, 59.305, 59.315
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Civil penalties, 59.995
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Exchange plans, 59.095
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Hydroelectric project licensees, 543.525 et seq., 543.990
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Injunctions
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(Generally), 59.245
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Law violations, 59.255, 59.331
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License denial, suspension, revocation, 59.205
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Insolvency, broker-dealers, salespersons, mortgage brokers, investment advisers, 59.205, 59.790
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Insurance, see INSURANCE AND INSURERS
See INSURANCE AND INSURERS
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Interest, illegal sale, 59.115
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Investigations, generally, 59.245, 59.315, 59.331
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Investment adviser representatives
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Books and records, keeping, 59.195
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Defined, 59.015
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Denial, suspension or revocation of license, grounds, 59.205
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Financial exploitation of vulnerable persons, see
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Financial exploitation of vulnerable per-
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sons, this topic
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Licensing requirement, 59.165
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Investment advisers
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See also Broker-dealers, this topic; Salespersons, this topic
See BROKER-DEALERS
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Actions, see Actions and proceedings, this topic
See ACTIONS AND PROCEEDINGS
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Bond, 59.115, 59.175
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Conduct, unethical, effect, 59.205, 59.235
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Decedents’ estates, employment, 114.305
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Definition, 59.015
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Financial exploitation of vulnerable persons, see
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Financial exploitation of vulnerable per-
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sons, this topic
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Fraud, 59.135, 59.137, 59.205, 59.235
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Insolvency, 59.205, 59.265
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Liability, unlawful sale, 59.115
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Liquidation, impaired assets, 59.265
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Mental incompetence, guardian, 59.225
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Penalties, 59.995
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Process, notices, demands, service on commissioner, 59.155
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Receivers, appointment, 59.265
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Records, reports required, 59.195
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Reports, personnel, 59.370
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Representatives, see Investment adviser representatives, this topic
See INVESTMENT ADVISER REPRESENTATIVES
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Supervision, 59.235
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Unethical conduct, effect, 59.205, 59.235
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Investment securities, Commercial Code, see
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COMMERCIAL CODE
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Involuntary liquidation, 59.265
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Irrigation associations, securities, registration, exempt, 59.025, 59.045
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Issuer
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Actions, see Actions and proceedings, this topic
See ACTIONS AND PROCEEDINGS
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Definition, 59.015
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Deposits required, 59.085
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Exchange plans, hearings, approval, director, 59.095
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False reports, information, registration revocation, 59.105
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Insolvency, 59.105
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Liability, unlawful sale, 59.115
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Process, notices, demands, service on commissioner, 59.155
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Registration, 59.095, 59.105
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Issuer (Cont.)
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Reports, 59.105, 59.135, 59.137, 59.355
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Sale, securities, registration exemption, 59.035, 59.045
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Supervision, 59.235
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Judicial review, orders, 59.305
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Jurisdiction, personal, ORCP 4J
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Liability
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Fraud, 59.137
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Illegal sale, 59.115, 59.125
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Purchaser, 59.127
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Liability immunity, good faith acts, conformance with rule or law, 59.370
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Licenses
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(Generally), 59.055, 59.075, 59.235, 59.335
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Applications
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(Generally), 59.065
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Amendments, 59.070
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Announcement, publication, 59.175
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Broker-dealers, investment advisers, salespersons
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(Generally), 59.165, 59.175, 59.235
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Bond, 59.175
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Cancellation, 59.225, 59.235
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Conditions, 59.175, 59.205, 59.215