reglab/housing_qa huggingface dataset:
AZ Rev Stat § 44-3213 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3213 - Conduct of hearing

44-3213.  Conduct of hearing A. Any hearing under this article may be held before the commission,  a member of the commission,  the director or any other authorized officer of the commission as the commission directs. B. Conduct of the hearing is governed by this section and by the rules of practice and procedure adopted by the commission. The commission,  a member of the commission,  the director and any other authorized officers of the commission are not bound by the technical rules of evidence in the conduct of hearings under this article,  and no informality in any proceeding,  as in the manner of taking testimony,  invalidates any order,  decision or rule made,  approved or confirmed by the commission. C. The commission shall appoint a shorthand reporter to make a stenographic record of all proceedings and testimony of each hearing,  and the record shall be reduced to writing and filed with the commission.
AZ Rev Stat § 44-3214 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3214 - Rehearings

44-3214.  Rehearings The commission may institute or grant rehearings on application made within twenty calendar days after entry of an order or decision. Unless otherwise ordered,  filing an application for rehearing does not stay the commission s decision or order. If the commission does not grant a rehearing within twenty calendar days,  the application is considered to be denied. Rehearings are subject to this article.
AZ Rev Stat § 44-3231 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3231 - Judicial review

44-3231.  Judicial review Decisions of the commission pursuant to this chapter are subject to judicial review in superior court in Maricopa county pursuant to title 12,  chapter 7,  article 6.
AZ Rev Stat § 44-3241 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3241 - Fraud in provision of investment advisory services; liability; violation; classification

44-3241.  Fraud in provision of investment advisory services;  liability;  violation;  classification A. It is a fraudulent practice and unlawful for a person,  in connection with a transaction or transactions within or from this state involving the provision of investment advisory services,  directly or indirectly,  to do any of the following: 1. Employ any device,  scheme or artifice to defraud. 2. Make any untrue statement of material fact,  or fail to state any material fact necessary in order to make the statement made,  in the light of the circumstances under which it was made,  not misleading. 3. Misrepresent any professional qualifications with the intent that the client rely on the misrepresentation. 4. Engage in any transaction,  practice or course of business that operates or would operate as a fraud or deceit. B. A person who violates this section is liable to any person for all losses incurred by that person as a result of the violation,  together with interest on losses incurred,  court costs and reasonable attorney fees. A civil action under this section is barred unless it is brought within three years after the violation or within two years after discovery of the facts constituting the violation,  whichever occurs first. C. A person who violates this section is guilty of a class 4 felony.
AZ Rev Stat § 44-3271 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3271 - Petition for appointment of conservators and receivers

44-3271.  Petition for appointment of conservators and receivers If an act,  practice or transaction that constitutes a violation of section 44-3151 or article 9 of this chapter is alleged in a complaint filed by this state or an agency of this state,  the commission may petition the superior court in Maricopa county for the appointment of a conservator to reorganize the affairs of,  or a receiver to wind up the affairs of,  the violator. The commission may transmit any evidence it has available concerning the act,  practice or transaction to the attorney general. On receipt of the evidence,  the attorney general may petition the superior court in Maricopa county for the appointment of a conservator to reorganize the affairs of,  or a receiver to wind up the affairs of,  the violator. Process in these actions may be served on the defendant in any county in this state in which the defendant transacts business or is found.
AZ Rev Stat § 44-3272 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3272 - Conservators and receivers

44-3272.  Conservators and receivers Sections 44-2012 through 44-2017 apply to this chapter.
AZ Rev Stat § 44-3291 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3291 - Jurisdiction and venue of offenses and actions; joinder of spouse

44-3291.  Jurisdiction and venue of offenses and actions;  joinder of spouse A. The superior court has jurisdiction over violations of this chapter,  the rules and orders of the commission adopted or issued under this chapter and all actions brought to enforce any liability or duty created under this chapter,  except actions or proceedings brought under section 44-3292,  paragraph 2,  3 or 4 or appeals filed under article 8 of this chapter,  over which the superior court in Maricopa county has exclusive jurisdiction. B. Any action authorized by this chapter may be brought in the county in which the defendant is found,  is an inhabitant or transacts business or in the county in which the transaction took place. Process may be served on any defendant in any county of this state in which the defendant is an inhabitant or in which the defendant is found. C. The commission may join the spouse in any action authorized by this chapter to determine the liability of the marital community. This subsection does not authorize the commission to join any individual who is divorced from the defendant at the time an action authorized by this chapter is filed.
AZ Rev Stat § 44-3293 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3293 - Burden of proof of exemptions

44-3293.  Burden of proof of exemptions If a defense in any civil or criminal action is based on any exemption provided for in this chapter,  the burden of proving the existence of the exemption is on the party raising the defense,  and it is not necessary to negate the exemption in any petition,  complaint,  information or indictment made or brought in any proceeding under this chapter.
AZ Rev Stat § 44-3294 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3294 - Evidence of licensure or lack of licensure

44-3294.  Evidence of licensure or lack of licensure A certificate signed by the director and under seal of the commission showing that a notice filing has or has not been filed as provided in article 4 of this chapter or that an investment adviser or investment adviser representative has or has not been licensed as provided in article 4 of this chapter constitutes evidence of the facts so certified and is admissible in evidence in any civil or criminal action or proceeding in which the question of the notice of filing or licensure may be at issue.
AZ Rev Stat § 44-3295 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3295 - Evidence of record of proceedings

44-3295.  Evidence of record of proceedings A certificate signed by the director,  and under seal of the commission,  in regard to the record of any proceeding under this chapter for denial,  suspension or revocation of the license of any investment adviser or investment adviser representative constitutes evidence of the record and is admissible in any civil or criminal proceeding in which the record may be at issue.
AZ Rev Stat § 44-3296 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3296 - Administrative penalty

44-3296.  Administrative penalty A. A person who,  in an administrative action,  is found to have violated this chapter or any rule or order of the commission may be assessed an administrative penalty by the commission,  after a hearing,  of not more than one thousand dollars for each violation. B. Any administrative penalties collected pursuant to this section shall be deposited,  pursuant to sections 35-146 and 35-147,  in the state general fund. C. If judicial review has not been sought under title 12,  chapter 7,  article 6,  a certified copy of any commission order requiring the payment of restitution or administrative penalties may be filed in the office of the clerk of the superior court in any county of this state. The clerk shall treat the commission order in the same manner as a judgment of the superior court. A commission order so filed has the same effect as a judgment of the superior court and may be recorded,  enforced or satisfied in like manner. No filing fee is required under this section.
AZ Rev Stat § 44-3297 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3297 - Costs recoverable

44-3297.  Costs recoverable In an action brought under this article,  the commission or the attorney general is entitled to recover costs that in the discretion of the court may include an amount representing reasonable attorney fees and investigative expenses for services rendered.
AZ Rev Stat § 44-3298 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3298 - Investment management regulatory and enforcement fund; purpose

44-3298.  Investment management regulatory and enforcement fund;  purpose A. An investment management regulatory and enforcement fund is established and shall be administered by the commission under the conditions and for the purposes provided by this section. Monies in the fund are exempt from the provisions of section 35-190 relating to lapsing of appropriations. B. Fees and costs collected pursuant to this chapter,  unless otherwise designated,  shall be deposited,  pursuant to sections 35-146 and 35-147,  in the fund. C. The commission shall use the monies in the fund for education and regulatory,  investigative and enforcement operations in the securities division. D. If the amount of monies in the fund exceeds one hundred thousand dollars on December 31 of any calendar year,  the amount in excess of one hundred thousand dollars reverts to the state general fund. Beginning with the fiscal year starting on July 1,  1996,  monies in the fund are subject to annual legislative appropriation.
AZ Rev Stat § 44-3299 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3299 - State liability; limitation

44-3299.  State liability;  limitation Except as otherwise provided by law,  this state,  any political subdivision of this state,  the commission,  the director or any state officer,  agent or employee acting in good faith is not liable for any injury or damage to investors or the general public resulting from any actual or opportunity losses suffered through the activities of investment advisers or investment adviser representatives.
AZ Rev Stat § 44-3300 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3300 - Confidentiality

44-3300.  Confidentiality A. The names of complainants and all information or documents obtained by any officer,  employee or agent of the commission,  including the shorthand reporter or stenographer transcribing the reporter's notes,  in the course of any examination or investigation are confidential unless the names,  information or documents are made a matter of public record. An officer,  employee or agent of the commission shall not make the confidential names,  information or documents available to anyone other than a member of the commission,  another officer or employee of the commission,  an agent who is designated by the commission or director,  the attorney general or law enforcement or regulatory officials,  except pursuant to any rule of the commission or unless the commission or the director authorizes the disclosure of the names,  information or documents as not contrary to the public interest. B. The commission shall not disclose the home address,  home telephone number and social security number of an individual investment adviser or an investment adviser representative unless the commission or the director authorizes the disclosure of the information as not contrary to the public interest.
AZ Rev Stat § 44-3321 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3321 - Notice filings by open-end companies and unit investment trusts

44-3321.  Notice filings by open-end companies and unit investment trusts A. Securities that are issued by an open-end company or unit investment trust may be offered for sale and sold in this state if the commission receives all of the following: 1. The documents that are filed with the SEC and that are required by the commission. 2. A consent to service of process. 3. The sales reports that are required by this article. 4. A notice filing fee computed pursuant to section 44-3324. B. A notice filing is effective and renewable as provided in section 44-3322. C. Securities that are exempt pursuant to section 44-1843 or that are sold in a transaction that is exempt pursuant to section 44-1844 are exempt from the requirements of this section.
AZ Rev Stat § 44-3322 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3322 - Amount and term of securities subject to notice filing

44-3322.  Amount and term of securities subject to notice filing A. An open-end company or a unit investment trust shall file a notice in order to offer for sale or sell an indefinite amount of securities with the commission. B. The initial notice filing of an open-end company is effective from the later of receipt by the commission or the effective date with the SEC until two months after the end of the issuer's current fiscal year. After that period,  the notice filing may be renewed by filing the following with the commission no later than the expiration date of the current notice period: 1. The appropriate documents required by chapter 12 of this title and by the commission,  by rule or otherwise. 2. The sales report described in section 44-3323. 3. The notice filing fees required by section 44-3324,  subsection B. C. On timely completion of the renewal notice filing for an open-end company,  the renewal is automatically effective from the end of the expiring notice period until two months after the end of the issuer's current fiscal year. D. The initial notice filing of a unit investment trust is effective for one year from the effective date of the registration with the SEC,  regardless of when the notice filing was received in this state. After that period,  the notice filing may be renewed by filing the following with the commission no later than the expiration of the current notice period: 1. The appropriate documents required by chapter 12 of this title and by the commission,  by rule or otherwise. 2. The notice filing fees required by section 44-3324,  subsection E,  paragraph 1. E. On timely completion of the renewal notice filing for unit investment trusts,  the renewal is automatically effective for one year from the end of the expiring notice period. F. The commission may adopt rules with respect to notice filings for investment companies other than open-end companies or unit investment trusts.
AZ Rev Stat § 44-3323 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3323 - Sales reports

44-3323.  Sales reports A. The sales report filed with the commission shall specify the total amount of sales made to persons in this state during the time periods specified in this section together with such other information the commission designates by rule or otherwise. B. An issuer that elected to pay the maximum fee provided in section 44-3324 is not required to file a sales report with the commission when renewing or terminating the notice filing.  C. When renewing its notice filing,  an open-end company that elected to pay the minimum fee prescribed in section 44-3324 for the expiring notice period shall file a sales report within two months after its fiscal year ends to report the sales made to persons in this state during the prior fiscal year. D. An open-end company that elected to pay the minimum fee prescribed in section 44-3324 for the expiring notice period and that does not renew the notice filing shall file a final sales report within two months of the expiration of the notice period to report the sales made to persons in this state during the prior fiscal year and during the two month period from the end of the prior fiscal year to the expiration of the notice period. E. When renewing its notice filing,  a unit investment trust that elected to pay the minimum fee prescribed in section 44-3324 for the expiring notice period shall file a sales report within two months after the end of the expiring notice period to report the sales made to persons in this state during the prior notice period. F. A unit investment trust that elected to pay the minimum fee prescribed in section 44-3324 and that does not renew the notice filing shall file a final sales report within two months after the expiration of the notice period to report the sales made to persons in this state during the notice period.
AZ Rev Stat § 44-3325 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3325 - Notice filings by closed-end companies

44-3325.  Notice filings by closed-end companies A. Securities that are issued by a closed-end company may be offered for sale and sold in this state if the commission receives all of the following from the closed-end company: 1. The documents that are filed with the SEC and that are required by the commission. 2. A consent to service of process. 3. A notice filing fee calculated pursuant to this section. B. A notice filing is effective and renewable on the filing date with the commission or the effective date with the SEC,  whichever occurs last,  and the notice filing is effective for one year from that date. C. A closed-end company shall include with the company's notice filing a notice filing fee of one-tenth of one percent of the aggregate offering price of securities sold in this state,  but the fee shall not be less than two hundred dollars and not more than two thousand dollars. The amount by which a notice filing fee exceeds one thousand five hundred dollars shall be allocated to the office of economic opportunity operations fund established by section 41-5302. D. A closed-end company shall file a report of all sales of securities to persons in this state during the period of the notice filing. The closed-end company shall file the report with the commission within sixty days after the termination date of the offering within this state or the expiration date of the notice filing,  whichever occurs first. A closed-end company that fails to timely file a report of sales shall pay a late filing fee of two hundred dollars.
AZ Rev Stat § 44-5001 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-5001 - Definitions

44-5001.  Definitions In this chapter,  unless the context otherwise requires: 1. " Home solicitation sale" : (a) Means a sale of goods or services in which the seller or the seller's representative personally solicits the sale and the buyer's agreement or offer to purchase is made at a home other than that of the person soliciting the same and that agreement or offer to purchase is there given to the seller or the seller's representative. (b) Includes a cash sale that otherwise meets the definition of a home solicitation sale if the seller makes or provides a loan to the buyer or obtains or assists in obtaining a loan for the buyer to pay the purchase price. (c) Does not include a sale that is pursuant to a preexisting account with a seller whose primary business is selling goods or services at a fixed location or that is made pursuant to prior negotiations between the parties at a business establishment at a fixed location where goods or services are offered or exhibited for sale. 2. " Person" : (a) Includes a corporation,  company,  partnership,  firm,  association,  society or natural person. (b) When used to designate the party whose property may be the subject of a criminal or public offense,  includes the United States,  this state or any territory,  state or country,  any political subdivision of this state that may lawfully own any property,  or a public or private corporation,  partnership or association. (c) When used to designate the violator or offender of any law,  includes a corporation,  a partnership or any association of persons.
AZ Rev Stat § 44-5002 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-5002 - Cancellation period; method of cancellation; intent; waiver void

44-5002.  Cancellation period;  method of cancellation;  intent;  waiver void A. In addition to any right otherwise to revoke an offer,  the buyer may cancel a home solicitation sale until midnight of the third business day after the day on which the buyer signs an agreement subject to the provisions of this chapter. For the purposes of this chapter,  " business day"  does not include Sundays or the federal holidays of New Year's Day,  Memorial Day,  Independence Day,  Labor Day,  Columbus Day,  Veterans' Day,  Thanksgiving Day,  Christmas Day,  or Washington's Birthday. B. Cancellation shall occur when the buyer gives written notice of cancellation in person or by telegram to the seller at the address specified for notice of cancellation provided by the seller or when such written notice bearing such address is deposited in the United States mail by either ordinary mail or registered mail. C. Notice of cancellation given by the buyer is effective if it indicates the intention on the part of the buyer not to be bound by the home solicitation sale. D. Any provision of a contract,  offer or agreement that waives a buyer's right of cancellation under this section is void and has no effect.
AZ Rev Stat § 44-5003 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-5003 - Referral sales, rebate or discount violations

44-5003.  Referral sales,  rebate or discount violations No seller in a home solicitation sale shall offer to pay a commission or give a rebate or discount to the buyer in consideration of the buyer's giving to the seller the names of prospective purchasers or otherwise aiding the seller in making a sale to another person,  if the earning of the commission,  rebate or discount is contingent upon an event that is to happen subsequent to the time the buyer agrees to buy. Any sale made in respect to which a commission,  rebate or discount is offered in violation of the provisions of this chapter shall be voidable at the option of the buyer.
AZ Rev Stat § 44-5005 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-5005 - Transfer

44-5005.  Transfer A. A note or other evidence of indebtedness given by a buyer in respect of a home solicitation sale shall be dated not earlier than the date of the agreement or offer to purchase. Any transfer of a note or other evidence of indebtedness bearing the statement required by subsection B of this section shall be deemed an assignment only and any right,  title or interest which the transferee may acquire thereby shall be subject to all claims and defenses of the buyer against the seller pursuant to the provisions of this chapter and sections 44-144 and 44-145. B. Each note or other evidence of indebtedness given by a buyer in respect of a home solicitation sale shall bear on its face a conspicuous statement as follows: " This instrument is based upon a home solicitation sale,  which is subject to the provisions of title 44,  chapter 15. This instrument is not negotiable."  C. Compliance with the requirements of this section shall be a condition precedent to any right of action by the seller or any transferee of an instrument bearing the statement required under subsection B of this section against the buyer upon such instrument and shall be pleaded and proved by any person who may institute an action or suit against a buyer in respect thereof.