(1) May make anyinvestigation within or outside of this State as the Administrator deemsnecessary to determine whether any person has violated or is about to violateany provision of this Chapter or any rule or order hereunder, or to aid in theenforcement of this Chapter or in the prescribing of rules and forms hereunder;
(2) May require orpermit any person to file a statement in writing, under oath or otherwise asthe Administrator determines, as to all the facts and circumstances concerningthe matter to be investigated; and
(3) May publishinformation concerning any violation of this Chapter or any rule or orderhereunder.
(b) For the purpose ofany investigation or proceeding under this Chapter, the Administrator or anyofficer designated by him may administer oaths and affirmations, subpoenawitnesses, compel their attendance, take evidence and require the production ofany books, papers, correspondence, memoranda, agreements, or other documents orrecords which the Administrator deems relevant or material to the inquiry.
(c) In case ofcontumacy by, or refusal to obey a subpoena issued to any person, any court ofcompetent jurisdiction, upon application by the Administrator, may issue to theperson an order requiring him to appear before the Administrator, or theofficer designated by him, there to produce documentary evidence if so orderedor to give evidence touching the matter under investigation or in question. Failureto obey the order of the court may be punished by the court as a contempt ofcourt.
(d) The Administratormay act under subsection (b) of this section or apply under subsection (c) ofthis section to enforce subpoenas in this State at the request of a securitiesagency or administrator of any state if the alleged activities constituting aviolation for which the information is sought would be a violation of thisChapter or any rule hereunder if the alleged activities had occurred in thisState. (1987 (Reg. Sess., 1988), c. 1098, s. 1; 1997‑462,s. 8.)
(1) May make anyinvestigation within or outside of this State as the Administrator deemsnecessary to determine whether any person has violated or is about to violateany provision of this Chapter or any rule or order hereunder, or to aid in theenforcement of this Chapter or in the prescribing of rules and forms hereunder;
(2) May require orpermit any person to file a statement in writing, under oath or otherwise asthe Administrator determines, as to all the facts and circumstances concerningthe matter to be investigated; and
(3) May publishinformation concerning any violation of this Chapter or any rule or orderhereunder.
(b) For the purpose ofany investigation or proceeding under this Chapter, the Administrator or anyofficer designated by him may administer oaths and affirmations, subpoenawitnesses, compel their attendance, take evidence and require the production ofany books, papers, correspondence, memoranda, agreements, or other documents orrecords which the Administrator deems relevant or material to the inquiry.
(c) In case ofcontumacy by, or refusal to obey a subpoena issued to any person, any court ofcompetent jurisdiction, upon application by the Administrator, may issue to theperson an order requiring him to appear before the Administrator, or theofficer designated by him, there to produce documentary evidence if so orderedor to give evidence touching the matter under investigation or in question. Failureto obey the order of the court may be punished by the court as a contempt ofcourt.
(d) The Administratormay act under subsection (b) of this section or apply under subsection (c) ofthis section to enforce subpoenas in this State at the request of a securitiesagency or administrator of any state if the alleged activities constituting aviolation for which the information is sought would be a violation of thisChapter or any rule hereunder if the alleged activities had occurred in thisState. (1987 (Reg. Sess., 1988), c. 1098, s. 1; 1997‑462,s. 8.)
(1) May make anyinvestigation within or outside of this State as the Administrator deemsnecessary to determine whether any person has violated or is about to violateany provision of this Chapter or any rule or order hereunder, or to aid in theenforcement of this Chapter or in the prescribing of rules and forms hereunder;
(2) May require orpermit any person to file a statement in writing, under oath or otherwise asthe Administrator determines, as to all the facts and circumstances concerningthe matter to be investigated; and
(3) May publishinformation concerning any violation of this Chapter or any rule or orderhereunder.
(b) For the purpose ofany investigation or proceeding under this Chapter, the Administrator or anyofficer designated by him may administer oaths and affirmations, subpoenawitnesses, compel their attendance, take evidence and require the production ofany books, papers, correspondence, memoranda, agreements, or other documents orrecords which the Administrator deems relevant or material to the inquiry.
(c) In case ofcontumacy by, or refusal to obey a subpoena issued to any person, any court ofcompetent jurisdiction, upon application by the Administrator, may issue to theperson an order requiring him to appear before the Administrator, or theofficer designated by him, there to produce documentary evidence if so orderedor to give evidence touching the matter under investigation or in question. Failureto obey the order of the court may be punished by the court as a contempt ofcourt.
(d) The Administratormay act under subsection (b) of this section or apply under subsection (c) ofthis section to enforce subpoenas in this State at the request of a securitiesagency or administrator of any state if the alleged activities constituting aviolation for which the information is sought would be a violation of thisChapter or any rule hereunder if the alleged activities had occurred in thisState. (1987 (Reg. Sess., 1988), c. 1098, s. 1; 1997‑462,s. 8.)
