Arizona Administrative Code
Title 14 - PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION
Chapter 4 - Corporation Commission - Securities
Article 3 - RULES OF PROCEDURE FOR INVESTIGATIONS, EXAMINATIONS, AND ADMINISTRATIVE PROCEEDINGS
Section R14-4-302 - Article 3 Definitions

Universal Citation: AZ Admin Code R 14-4-302

Current through Register Vol. 30, No. 38, September 20, 2024

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.

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