reglab/housing_qa huggingface dataset:
AZ Rev Stat § 44-1799.95 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1799.95 - Direct primary care agreements; dentists

44-1799.95.  Direct primary care agreements;  dentists A direct primary care agreement for dental services is limited to services provided within a single professional practice and may not include services offered by dentists in other practice entities.
AZ Rev Stat § 44-1799.96 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1799.96 - Direct primary care agreements; regulation

44-1799.96.  Direct primary care agreements;  regulation A direct primary care agreement for medical or dental services does not constitute the transaction of insurance business or a health care services organization in this state for the purposes of regulation under title 20.
AZ Rev Stat § 44-1811 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1811 - Director of securities

44-1811.  Director of securities A. The commission shall appoint a director of securities,  subject to removal at the pleasure of the commission,  at compensation as determined pursuant to section 38-611,  who shall,  subject to the authority and under the supervision of the commission,  be the administrator of the division. The director of securities shall be a person at least thirty years of age and shall be qualified by any or all of the following: 1. At least five years of experience and training in corporate finance,  investment banking,  accounting principles or securities. 2. A college or graduate degree in business administration,  the major subjects of which have relation to investment banking or corporate finance. 3. A law degree and at least five years of legal experience and training in securities. B. The director of securities shall devote the director's entire time to the discharge of the duties of the office.
AZ Rev Stat § 44-1812 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1812 - Assistant director of securities

44-1812.  Assistant director of securities The commission shall appoint an experienced assistant to the director of securities whose compensation shall be as determined pursuant to section 38-611 to assist in the proper discharge of the duties imposed upon the securities division.
AZ Rev Stat § 44-1813 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1813 - Employment of personnel; criminal records check

44-1813.  Employment of personnel;  criminal records check A. The director,  with the approval of the commission,  may employ from time to time examiners,  investigators who are commissioned peace officers,  clerical employees and other officers and employees necessary for the administration of this chapter,  and regulatory officers and employees who are members of the state bar of Arizona who shall be paid at the same rate as the rate established by the department of administration for attorneys,  and who shall perform the duties the director requires. B. The director may obtain criminal history record information regarding applicants for employment for the purpose of hiring personnel. Before making a final offer of employment,  the director shall require the preferred applicants to submit a full set of fingerprints. The director shall submit the fingerprints to the department of public safety for the purpose of obtaining a state and federal criminal records check pursuant to section 41-1750 and Public Law 92-544. The department of public safety may exchange this fingerprint data with the federal bureau of investigation. C. The director shall not disclose information obtained pursuant to subsection B of this section except to the director's or the commission's staff solely for the purpose of the director's employment of the applicant.
AZ Rev Stat § 44-1814 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1814 - Travel and other necessary expenses of employees

44-1814.  Travel and other necessary expenses of employees The director,  and any person under the director's supervision shall be paid,  in addition to that person's regular compensation,  the transportation expense,  board,  lodging and other necessary traveling expenses actually incurred in the performance of that person's duties. Traveling expenses shall include the expenses of the director in attending the annual convention of the national association of securities administrators.
AZ Rev Stat § 44-1815 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1815 - Cooperation with other securities agencies

44-1815.  Cooperation with other securities agencies The director shall cooperate with the administrators of the securities laws of other states and of the United States with a view to achieving maximum uniformity in the interpretation and enforcement of like provisions of the laws administered by them.
AZ Rev Stat § 44-3111 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3111 - Director of securities

44-3111.  Director of securities The director of securities appointed pursuant to section 44-1811 shall administer this chapter.
AZ Rev Stat § 44-3112 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3112 - Assistant director of securities

44-3112.  Assistant director of securities The assistant director of securities appointed pursuant to section 44-1812 shall assist in administering this chapter.
AZ Rev Stat § 44-3113 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3113 - Employment of personnel

44-3113.  Employment of personnel The director may employ personnel for the administration of this chapter as prescribed in section 44-1813.
AZ Rev Stat § 44-3114 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3114 - Travel and other necessary expenses of employees

44-3114.  Travel and other necessary expenses of employees The director and any person under the director's supervision shall be paid travel and other necessary expenses as provided in section 44-1814.
AZ Rev Stat § 44-3115 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3115 - Cooperation with other agencies

44-3115.  Cooperation with other agencies The director shall cooperate with the administrators of investment adviser,  investment company and management and similar laws of other states and of the United States and with the national association of securities dealers,  inc. with a view to achieving maximum uniformity in the interpretation and enforcement of like provisions of the laws administered by them.
AZ Rev Stat § 44-1821 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1821 - General rule-making power of commission; delegation of authority; limitation

44-1821.  General rule-making power of commission;  delegation of authority;  limitation A. The commission may from time to time make,  amend and rescind rules and regulations reasonably necessary to carry out the provisions of this chapter. B. The commission may from time to time in its discretion delegate such authority to the director of securities as is convenient or necessary to the efficient administration of this chapter,  except that the commission may not delegate authority to adopt,  amend or rescind rules and regulations or to enter any final order of denial or revocation of registration of securities,  dealers or salesmen.
AZ Rev Stat § 44-1822 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1822 - Investigations

44-1822.  Investigations The commission,  the director or other agent or agents designated by the commission may make such public or private investigations within or outside of this state as the commission deems necessary to determine whether any person has violated or is about to violate any provisions of this chapter or any rule or order hereunder,  or to aid in the enforcement of this chapter,  or to aid in prescribing rules and forms hereunder,  and may at any time either prior to or subsequent to the registration of any securities or any dealer or salesman,  investigate and examine into the affairs of any person issuing or dealing in or selling or buying or intending to issue,  deal in or sell or buy securities or into the affairs of any person when the commission believes that such person is or may be issuing or dealing in or selling or buying securities.
AZ Rev Stat § 44-1823 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1823 - Power to require testimony and production of records; order of nondisclosure

44-1823.  Power to require testimony and production of records;  order of nondisclosure A. For the purpose of investigations or hearings which,  in the opinion of the commission,  are necessary and proper for the enforcement of this chapter,  any member of the commission,  the director or any officer or officers designated by the commission may administer oaths and affirmations,  subpoena witnesses,  take evidence and require by subpoena duces tecum or by citation the production of books,  papers,  contracts,  agreements or other documents,  records or information,  whether filed or kept in original form or electronically stored or recorded which the commission deems relevant or material to the inquiry. B. The commission may issue and apply to enforce a subpoena in this state at the request of a securities agency or administrator of another state if the activities constituting an alleged violation for which the information is sought would be a violation of this chapter if the activities had occurred in this state. C. In connection with the power to enforce the production of evidence by subpoena vested in the commission by article XV of the Constitution of Arizona and the commission's power to conduct private investigations pursuant to section 44-1822,  the commission has the authority to order a financial institution not to disclose the existence or content of the subpoena to persons not affiliated with the financial institution other than to the financial institution's legal counsel. The commission shall exercise such power if the commission finds it necessary or appropriate in the public interest or for the protection of investors.
AZ Rev Stat § 44-1824 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1824 - Dealer examination assessment; foreign examination cost; payment

44-1824.  Dealer examination assessment;  foreign examination cost;  payment A. The commission shall assess a charge at the rate of two hundred dollars a day for each examiner employed in examining a dealer. For a dealer maintaining an office outside this state,  in addition to the examination assessment,  the commission shall make an assessment equal to the travel and subsistence expense incurred in the examination of the office in another state or country. Reimbursement for examination assessments and examiners' expenses shall be credited to the state general fund. B. Examination assessments are due and payable to the commission within thirty days after the date of the notice of assessment. A penalty assessment of fifty dollars shall be made for each day the payment is overdue following the thirty day period. The total penalty assessment shall not exceed twenty-five per cent of the examination assessment.
AZ Rev Stat § 44-1825 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1825 - Contempt; penalty

44-1825.  Contempt;  penalty A. In case of contumacy or refusal to obey a subpoena or citation issued by the commission,  any member of the commission,  the director or any officer designated by the commission,  the superior court in Maricopa county,  on application by the commission,  shall issue to the person an order requiring the person to appear before the commission,  the director or the officer designated by the commission to produce documentary evidence if so ordered and to give evidence touching the matter under investigation or in question. Failure to obey the order of the court may be punished by the court as a contempt of court. B. In the case of wilful noncompliance with a nondisclosure order included in a subpoena issued pursuant to section 44-1823,  on application by the commission,  the superior court in Maricopa county may exercise its contempt powers. For the purposes of this subsection,  " wilful"  has the same meaning as that prescribed to wilfully in section 1-215. C. The court shall award reasonable expenses,  including attorney fees,  to the commission if the refusal to obey a subpoena or citation issued by the commission was not substantially justified,  unless other circumstances make an award of expenses unjust. D. Process in any proceeding pursuant to this section may be served on the defendant in any county of this state in which the defendant transacts business or is found. E. Any expenses,  including attorney fees,  collected pursuant to this section shall be deposited,  pursuant to sections 35-146 and 35-147,  in the state general fund.
AZ Rev Stat § 44-1826 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1826 - No-action requests

44-1826.  No-action requests A. The director may formally respond to written requests from interested persons for interpretative no-action letters that confirm that the division will not institute enforcement proceedings against certain specified persons for engaging in certain specified activities. B. A person shall submit a no-action request in writing and a nonrefundable filing fee pursuant to section 44-1861,  subsection M. The request shall contain the following: 1. A brief summary of the statutory and regulatory provisions to which the request pertains. 2. A detailed statement of the relevant facts. 3. A detailed discussion and analysis of the law as it relates to the facts. 4. A statement of the legal authority for granting the request. 5. A statement of the reasons a no-action letter is appropriate. 6. A statement explaining any adverse or beneficial effect on the public interest resulting from the granting of the request. 7. A certification that,  within the knowledge of the person on whose behalf the request is made,  the transaction described is not directly or indirectly the subject of any pending or final judicial,  SRO or administrative proceeding. 8. A certification that the transaction described has not been commenced or,  if the transaction has commenced,  a statement concerning the status. 9. An acknowledgment by the person on whose behalf the request is made that the request,  together with any documents or information submitted and any response from the division,  is public information that may be released for publication,  except as otherwise provided by law. C. Unless otherwise specified in writing by the division,  a no-action letter is limited to the specific security,  case,  matter,  facts,  person or transaction described in the request and has no precedential value in any other context.
AZ Rev Stat § 44-3131 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3131 - General rule making power of commission; delegation of authority; limitation

44-3131.  General rule making power of commission;  delegation of authority;  limitation A. The commission may adopt rules pursuant to title 41,  chapter 6 that are reasonably necessary to carry out the purposes of this chapter. B. The commission may delegate such authority to the director of securities as is convenient or necessary for the efficient administration of this chapter,  except that the commission may not delegate authority to adopt rules or to enter any final order of denial or revocation of licenses of investment advisers or investment adviser representatives.
AZ Rev Stat § 44-3132 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3132 - Investigations

44-3132.  Investigations The commission,  the director or any other agent or agents designated by the commission may: 1. Make private or public investigations within or outside this state that the commission deems necessary to determine whether any person has violated or is about to violate this chapter or any rule or order adopted or issued under this chapter,  to aid in the enforcement of this chapter or to aid in adopting rules and forms under this chapter. 2. At any time either before or after the licensure of any investment adviser or investment adviser representative,  investigate and examine the affairs of any person engaged in the provision of investment advisory services or the affairs of any person if the commission believes that the person is or may be engaged in the provision of investment advisory services.
AZ Rev Stat § 44-3133 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3133 - Power to require testimony and production of records; order of nondisclosure

44-3133.  Power to require testimony and production of records;  order of nondisclosure A. For the purpose of investigations or hearings that,  in the opinion of the commission,  are necessary and proper for the enforcement of this chapter,  any member of the commission,  the director or any officer or officers designated by the commission may administer oaths and affirmations,  subpoena witnesses,  take evidence and require by subpoena duces tecum or by citation the production of books,  papers,  contracts,  agreements or other documents,  records or information,  whether filed or kept in original form or electronically stored or recorded,  that the commission deems relevant or material to the inquiry. B. The commission may issue and apply to enforce a subpoena in this state at the request of a securities agency or administrator of another state if the activities constituting an alleged violation for which the information is sought would be a violation of this chapter if the activities had occurred in this state. C. In connection with the power to enforce the production of evidence by subpoena vested in the commission by article XV of the Constitution of Arizona and the commission's power to conduct private investigations pursuant to section 44-3132,  the commission has the authority to order a financial institution not to disclose the existence or content of the subpoena to persons not affiliated with the financial institution other than to the financial institution's legal counsel. The commission shall exercise such power if the commission finds it necessary or appropriate in the public interest or for the protection of investors.
AZ Rev Stat § 44-3134 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3134 - Contempt; penalty

44-3134.  Contempt;  penalty A. If a person refuses to obey a subpoena or citation issued by the commission,  any member of the commission,  the director or any officer designated by the commission,  the superior court in Maricopa county,  on application by the commission,  shall issue to the person an order requiring that person to appear before the commission,  the director or the officer designated by the commission to produce documentary evidence if so ordered and to give evidence concerning the matter under investigation or in question. The court may punish failure to obey the order of the court as contempt. B. In the case of wilful noncompliance with a nondisclosure order included in a subpoena issued pursuant to section 44-3133,  on application by the commission,  the superior court in Maricopa county may exercise its contempt powers. For the purposes of this subsection,  " wilful"  has the same meaning as that prescribed to wilfully in section 1-215. C. The court shall award reasonable expenses,  including attorney fees,  to the commission if the refusal to obey a subpoena or citation issued by the commission was not substantially justified,  unless other circumstances make an award of expenses unjust. D. Process in any proceeding pursuant to this section may be served on the defendant in any county of this state in which the defendant transacts business or is found.  E. Any expenses,  including attorney fees,  collected pursuant to this section shall be deposited,  pursuant to sections 35-146 and 35-147,  in the state general fund.
AZ Rev Stat § 44-3135 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-3135 - No-action letters

44-3135.  No-action letters The director may formally respond to written requests from interested persons for interpretative no-action letters as provided in section 44-1826.
AZ Rev Stat § 44-1841 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1841 - Sale of unregistered securities prohibited; classification

44-1841.  Sale of unregistered securities prohibited;  classification A. It is unlawful to sell or offer for sale within or from this state any securities unless the securities have been registered pursuant to article 6 or 7 of this chapter or are federal covered securities if the securities comply with section 44-1843.02 or chapter 13,  article 12 of this title.  B. A person violating this section is guilty of a class 4 felony.
AZ Rev Stat § 44-1842 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1842 - Transactions by unregistered dealers and salesmen prohibited; classification

44-1842.  Transactions by unregistered dealers and salesmen prohibited;  classification A. It is unlawful for any dealer to sell or purchase or offer to sell or buy any securities,  or for any salesman to sell or offer for sale any securities within or from this state unless the dealer or salesman is registered as such pursuant to the provisions of article 9 of this chapter. B. A person violating this section is guilty of a class 4 felony.
AZ Rev Stat § 44-1843.02 (2021)
2021 Arizona Revised Statutes|Title 44 - Trade and Commerce|§ 44-1843.02 - Special filing requirements for certain exempt or federal covered securities

44-1843.02.  Special filing requirements for certain exempt or federal covered securities A. Any advertising and sales material,  other than the notices required by law to be published or posted,  that is used in connection with offers or sales to the public of any of the securities to which section 44-1843.01,  subsection A applies shall be filed with the division three business days before its proposed use. The filing required by this section shall be made by the nongovernmental user,  dealer or underwriter. B. Issuers of securities that are described as covered securities in section 18(b)(3) of the securities act of 1933 shall file concurrently with the commission any document filed with the SEC under the securities act of 1933. If the issuer is not a corporation or other entity organized under the laws of this state,  the issuer shall file a consent to service of process that complies with section 44-1862. At the time of the issuer's initial filing with the commission,  the issuer shall pay a fee of one hundred dollars. C. Issuers of securities that are described as covered securities in section 18(b)(4)(D) of the securities act of 1933 shall file with the commission not later than fifteen calendar days after the first sale of securities in or from this state one copy of a notice on form D. The notice on form D shall contain a manual or facsimile signature of a person duly authorized by the issuer and is considered filed with the commission on receipt at the commission's Phoenix office or as of the date on which the notice is mailed by United States registered or certified mail to the commission's Phoenix office if the notice is delivered to that office after the date on which the notice is required to be filed. The issuer shall pay the initial filing fee prescribed in section 44-1861,  subsection E. D. Section 44-1842 applies to federal covered securities transactions unless an exemption is available under another provision of this chapter.