§ 23-55-801 - Suspension and Revocation.
(a) The commissioner may suspend or revoke a license or order a licensee to revoke the designation of an authorized delegate if: (1) the...
§ 23-55-803 - Orders to Cease and Desist.
(a) If the Securities Commissioner determines that a violation of this chapter or of a rule adopted or an order issued under this chapter...
§ 23-55-804 - Consent Orders.
The commissioner may enter into a consent order at any time with a person to resolve a matter arising under this chapter or a...
§ 23-55-805 - Civil Penalties.
The commissioner may assess a civil penalty against a person that violates this chapter or a rule adopted or an order issued under this...
§ 23-55-806 - Criminal Penalties.
(a) A person that intentionally makes a false statement, misrepresentation, or false certification in a record filed or required to be maintained under this...
§ 23-55-807 - Unlicensed Persons.
(a) (1) [Repealed.] (2) If as a result of an investigation or examination the Securities Commissioner finds that a person has engaged or is...
§ 23-55-808 - Receivership.
(a) (1) Whenever a licensee has refused or is unable to pay its obligations generally as they become due or whenever it appears to...