A dealer, salesman, agent or person associated with a dealer, salesman or agent shall not directly or indirectly solicit or accept remuneration for assisting an attorney in obtaining the representation of any person in any private action arising under this chapter, the securities act of 1933 (15 United States Code §§ 77a through 77bbbb) or the securities exchange act of 1934 (15 United States Code §§ 78a through 78ll).

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Terms Used In Arizona Laws 44-1996

  • Action: includes any matter or proceeding in a court, civil or criminal. See Arizona Laws 1-215
  • Person: means an individual, corporation, partnership, association, joint stock company or trust, limited liability company, government or governmental subdivision or agency or any other unincorporated organization. See Arizona Laws 44-1801
  • Salesman: means an individual, other than a dealer, employed, appointed or authorized by a dealer to sell securities in this state. See Arizona Laws 44-1801
  • United States: includes the District of Columbia and the territories. See Arizona Laws 1-215
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