(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,
(3) May publishinformation concerning any violation of this Chapter or any rule or orderhereunder, and
(4) May appointemployees of the Securities Division as securities law enforcement agents andas other enforcement personnel.
a. Subject matterjurisdiction The responsibility of an agent shall be enforcement of thisChapter and Chapters 78C and 78D of the General Statutes.
b. Territorialjurisdiction A securities law enforcement agent is a State officer withjurisdiction throughout the State.
c. Service of orders ofthe Administrator Securities law enforcement agents may serve and executenotices, orders, or demands issued by the Administrator for the surrender ofregistrations or relating to any administrative proceeding. While serving andexecuting such notices, orders, or demands, securities law enforcement agentsshall have all the power and authority possessed by a law enforcement officer.
(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.Failure to obey the order of the court may be punished by the court as acontempt of court.
(d) Repealed by SessionLaws 1977, c. 610, s. 2.
(e) The Administratormay act under subsection (b) or apply under subsection (c) to enforce subpoenasin this State at the request of a securities agency or administrator of anystate if the alleged activities constituting a violation for which theinformation is sought would be a violation of this Chapter or any rulehereunder if the alleged activities had occurred in this State. (1925,c. 190, s. 16; 1927, c. 149, s. 16; 1973, c. 1380; 1977, c. 610, s. 2; 1987, c.849, s. 4; 1991, c. 456, s. 2; 1997‑462, s. 3.)
(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,
(3) May publishinformation concerning any violation of this Chapter or any rule or orderhereunder, and
(4) May appointemployees of the Securities Division as securities law enforcement agents andas other enforcement personnel.
a. Subject matterjurisdiction The responsibility of an agent shall be enforcement of thisChapter and Chapters 78C and 78D of the General Statutes.
b. Territorialjurisdiction A securities law enforcement agent is a State officer withjurisdiction throughout the State.
c. Service of orders ofthe Administrator Securities law enforcement agents may serve and executenotices, orders, or demands issued by the Administrator for the surrender ofregistrations or relating to any administrative proceeding. While serving andexecuting such notices, orders, or demands, securities law enforcement agentsshall have all the power and authority possessed by a law enforcement officer.
(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.Failure to obey the order of the court may be punished by the court as acontempt of court.
(d) Repealed by SessionLaws 1977, c. 610, s. 2.
(e) The Administratormay act under subsection (b) or apply under subsection (c) to enforce subpoenasin this State at the request of a securities agency or administrator of anystate if the alleged activities constituting a violation for which theinformation is sought would be a violation of this Chapter or any rulehereunder if the alleged activities had occurred in this State. (1925,c. 190, s. 16; 1927, c. 149, s. 16; 1973, c. 1380; 1977, c. 610, s. 2; 1987, c.849, s. 4; 1991, c. 456, s. 2; 1997‑462, s. 3.)
(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,
(3) May publishinformation concerning any violation of this Chapter or any rule or orderhereunder, and
(4) May appointemployees of the Securities Division as securities law enforcement agents andas other enforcement personnel.
a. Subject matterjurisdiction The responsibility of an agent shall be enforcement of thisChapter and Chapters 78C and 78D of the General Statutes.
b. Territorialjurisdiction A securities law enforcement agent is a State officer withjurisdiction throughout the State.
c. Service of orders ofthe Administrator Securities law enforcement agents may serve and executenotices, orders, or demands issued by the Administrator for the surrender ofregistrations or relating to any administrative proceeding. While serving andexecuting such notices, orders, or demands, securities law enforcement agentsshall have all the power and authority possessed by a law enforcement officer.
(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.Failure to obey the order of the court may be punished by the court as acontempt of court.
(d) Repealed by SessionLaws 1977, c. 610, s. 2.
(e) The Administratormay act under subsection (b) or apply under subsection (c) to enforce subpoenasin this State at the request of a securities agency or administrator of anystate if the alleged activities constituting a violation for which theinformation is sought would be a violation of this Chapter or any rulehereunder if the alleged activities had occurred in this State. (1925,c. 190, s. 16; 1927, c. 149, s. 16; 1973, c. 1380; 1977, c. 610, s. 2; 1987, c.849, s. 4; 1991, c. 456, s. 2; 1997‑462, s. 3.)
