Arizona Revised Statutes § 44-3211 Initiation Of Hearing; Purpose Of Hearing

44-3211. Initiation of hearing; purpose of hearing

The commission may order a hearing on its own initiative or at the written request of any interested person, either before or after licensure of an investment adviser or investment adviser representative:

1. For the purpose of administering or obtaining information necessary in the enforcement of this chapter or the rules or orders of the commission adopted or issued under this chapter.

2. To enable the commission to take appropriate action in connection with any pending application for licensure of any investment adviser or investment adviser representative.

3. To modify the terms and conditions of any license, order or notice filing.

4. To determine whether the license of any investment adviser or investment adviser representative should be denied, suspended or revoked.

Section: Previous  44-3156  44-3157  44-3158  44-3159  44-3181  44-3201  44-3202  44-3211  44-3212  44-3213  44-3214  44-3231  44-3241  44-3271  44-3272  Next

Last modified: October 13, 2016