Disciplinary action

Grounds for, §10-5-41. Effective date of registration, §10-5-35. Examinations, §10-5-41. Exemption from registration, §10-5-32. Fees for registration application and renewal, §10-5-39. Financial protections for elderly and disabled adults, securities regulation. Generally, §§10-5-100 to 10-5-108. Qualified individuals. Defined, §§10-5-100, 10-5-102. Reporting abuse or neglect, duties of securities or financial professionals, §10-5-108. Financial requirements, §10-5-40. Fingerprinting and criminal background check, §10-5-35. Fraud or deceit, §10-5-51. Liability to clients, §10-5-58. Registration requirements, §10-5-32. Revocation or suspension proceedings, §10-5-41. SECURITIES —Cont’d Investment advisers —Cont’d Termination of employment or association with representative, §10-5-37. Unlawful employment of other persons, §10-5-32. Withdrawal or registration, §10-5-38. Investor education initiatives, §10-5-70. Judicial review of orders and rules issued, §10-5-78. Limitation of civil actions, §10-5-58. Predecessor provisions, actions under, §10-5-90. Nonissuer transactions.