Chapter
4007
Enforcement
Sections
4007.001
Enforcement by Commissioner, Attorney General, and District or County Attorney
4007.002
Means of Enforcement Not Exclusive
4007.051
Complaints Filed with Commissioner or Board
4007.052
Inspections
4007.053
Investigative Authority
4007.054
Service of Subpoena, Summons, or Other Process
4007.055
Enforcement of Subpoena; Contempt
4007.056
Confidentiality of Investigative Information
4007.057
Compensation of Witnesses
4007.058
Imposition of Costs on Parties
4007.059
Assistance to Securities Regulators in Other Jurisdictions
4007.101
Cease and Desist Order: Offer or Sale of Securities
4007.102
Cease and Desist Order: Investment Adviser or Investment Adviser Representative
4007.103
Cease Publication Order
4007.104
Emergency Cease and Desist Order
4007.105
Denial, Suspension, or Revocation of Registration
4007.106
Assessment of Administrative Fine
4007.107
Hearings on Certain Matters
4007.108
Refund
4007.151
Receivership
4007.152
Injunctive Relief
4007.153
Equitable Relief and Restitution
4007.154
Civil Penalty
4007.155
Recovery of Costs
4007.201
Unauthorized Sale of Securities; Offense
4007.202
Unauthorized Rendering of Services as Investment Adviser or Investment Adviser Representative; Offense
4007.203
Fraudulent Conduct; Offense
4007.204
Materially False Statement in Document or Proceeding; Offense
4007.205
False Statement or Representation Concerning Registration; Offense
4007.206
Violation of Cease and Desist Order; Offense
4007.207
Noncompliant Offer or Offer Prohibited by Cease Publication Order; Offense
4007.208
Aggregation of Amounts
4007.209
Liability of Corporation
