Ariz. Admin. Code § 14-4-302

Current through Register Vol. 30, No. 25, June 21, 2024

Section R14-4-302 - Article 3 Definitions

The definitions set forth in A.R.S. §§ 44-1801 and 44-3101 and the following definitions apply to this Article 3.

1. "Formal interview" means the examination under oath of an individual compelled or requested to testify as part of an investigation or examination.

2. "IM Act" means the Arizona Investment Management Act, A.R.S. § 44-3101 et seq.

3. "Respondent" means any person against whom the Division files a complaint, notice, petition, or order.

4. "Securities Act" means the Securities Act of Arizona, A.R.S. § 44-1801 et seq.

Ariz. Admin. Code § R14-4-302

Adopted effective October 31, 1979 (Supp. 79-5). Amended effective November 19, 1987 (Supp. 87-4). Amended effective December 21, 1995, under an exemption from the Attorney General approval requirements of the Arizona Administrative Procedure Act (Supp. 95-4). Amended by final rulemaking at 8 A.A.R. 3729, effective August 6, 2002 (Supp. 02-3). At the request of the Corporation Commission, the preceding entry in this Historical Note is amended: the Commission intended the rulemaking action to reflect that the Section was repealed and a new Section was made at 8 A.A.R. 3729, effective August 6, 2002 (Supp. 02-4).