Skip Navigation Links
      RS 51:710.1     


§710.1. Commissioner of securities; power to assess civil monetary penalties

            The commissioner, upon notice of opportunity for hearing as provided for in R.S. 51:716, has the right to assess a civil monetary penalty against any issuer, broker-dealer, agent, investment adviser or investment adviser representative, or any other person who violates this Part or any rule, regulation, or order of the commissioner, up to a maximum of five thousand dollars per violation, plus the costs of investigation and prosecution.

            Acts 2006, No. 361, §1, eff. June 13, 2006; Acts 2018, No. 73, §1, eff. May 10, 2018.

If you experience any technical difficulties navigating this website, click here to contact the webmaster.
P.O. Box 94062 (900 North Third Street) Baton Rouge, Louisiana 70804-9062