17-12a505.Misleading filings; coercion;
obstruction.
(a) It is unlawful for a person to make or cause
to be made, in a record that is used in an action or proceeding or filed under
this act, a statement that, at the time and in the light
of the circumstances under which it is made, is false or misleading
in a material respect, or, in connection with the statement, to omit
to state a material fact necessary to make the statement made, in
the light of the circumstances under which it was made, not false
or misleading.
(b) It is unlawful for any person to intentionally influence, coerce,
manipulate or mislead any person in connection with financial
statements or appraisals to be used in the offer, sale or purchase
of securities for the purpose of rendering such financial statements
or appraisals materially misleading.
(c) It is unlawful for any person to:
(1) Alter, destroy, shred, mutilate, conceal, cover up or
falsify any record with the intent to impede, obstruct or influence
any investigation by the administrator or the administrator's
designee;
(2) alter, destroy, shred, mutilate or conceal a record with
the intent to impair the object's integrity or availability for use
in a proceeding before the administrator or a proceeding brought by
the administrator; or
(3) take action harmful to a person with the intent to
retaliate, including, but not limited to, interference with lawful
employment of such person, for providing truthful information
relating to a violation of this act.
17-12a505.Misleading filings; coercion;
obstruction.
(a) It is unlawful for a person to make or cause
to be made, in a record that is used in an action or proceeding or filed under
this act, a statement that, at the time and in the light
of the circumstances under which it is made, is false or misleading
in a material respect, or, in connection with the statement, to omit
to state a material fact necessary to make the statement made, in
the light of the circumstances under which it was made, not false
or misleading.
(b) It is unlawful for any person to intentionally influence, coerce,
manipulate or mislead any person in connection with financial
statements or appraisals to be used in the offer, sale or purchase
of securities for the purpose of rendering such financial statements
or appraisals materially misleading.
(c) It is unlawful for any person to:
(1) Alter, destroy, shred, mutilate, conceal, cover up or
falsify any record with the intent to impede, obstruct or influence
any investigation by the administrator or the administrator's
designee;
(2) alter, destroy, shred, mutilate or conceal a record with
the intent to impair the object's integrity or availability for use
in a proceeding before the administrator or a proceeding brought by
the administrator; or
(3) take action harmful to a person with the intent to
retaliate, including, but not limited to, interference with lawful
employment of such person, for providing truthful information
relating to a violation of this act.
17-12a505.Misleading filings; coercion;
obstruction.
(a) It is unlawful for a person to make or cause
to be made, in a record that is used in an action or proceeding or filed under
this act, a statement that, at the time and in the light
of the circumstances under which it is made, is false or misleading
in a material respect, or, in connection with the statement, to omit
to state a material fact necessary to make the statement made, in
the light of the circumstances under which it was made, not false
or misleading.
(b) It is unlawful for any person to intentionally influence, coerce,
manipulate or mislead any person in connection with financial
statements or appraisals to be used in the offer, sale or purchase
of securities for the purpose of rendering such financial statements
or appraisals materially misleading.
(c) It is unlawful for any person to:
(1) Alter, destroy, shred, mutilate, conceal, cover up or
falsify any record with the intent to impede, obstruct or influence
any investigation by the administrator or the administrator's
designee;
(2) alter, destroy, shred, mutilate or conceal a record with
the intent to impair the object's integrity or availability for use
in a proceeding before the administrator or a proceeding brought by
the administrator; or
(3) take action harmful to a person with the intent to
retaliate, including, but not limited to, interference with lawful
employment of such person, for providing truthful information
relating to a violation of this act.