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| 2.__Administrator powers to investigate.__For the purpose of an | investigation under this chapter, the administrator or the | administrator's designated officer may administer oaths and | affirmations, subpoena witnesses, seek compulsion of attendance, | take evidence, require the filing of statements and require the | production of any records that the administrator considers relevant | or material to the investigation.__It is unlawful to fail to | provide any statement or record if requested. |
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| | 3.__Procedure and remedies for noncompliance.__If a person | does not appear or refuses to testify, file a statement or | produce records or otherwise does not obey a subpoena as required | by the administrator under this chapter, the administrator may | request that the Attorney General apply to either the Superior | Court located in Kennebec County or the Superior Court where | service may be obtained on the person refusing to testify or | produce or a court of another state to enforce compliance. The | court may: |
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| A.__Hold the person in contempt; |
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| B.__Order the person to appear before the administrator; |
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| C.__Order the person to testify about the matter under | investigation or in question; |
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| D.__Order the production of records; |
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| E.__Grant injunctive relief, including restricting or | prohibiting the offer or sale of securities or the providing | of investment advice; |
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| F.__Impose a civil fine not to exceed $10,000 per violation; | and |
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| G.__Grant any other necessary or appropriate relief. |
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| | 4.__Application for relief.__This section does not preclude a | person from applying to the Superior Court located in Kennebec | County or a court of another state for relief from a request to | appear, testify, file a statement, produce records or obey a | subpoena. |
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| | 5.__Assistance to securities regulator of another | jurisdiction.__At the request of the securities regulator of | another state or a foreign jurisdiction, the administrator may | provide assistance if the requesting regulator states that it is | conducting an investigation to determine whether a person has | violated, is violating or is about to violate a law or rule of |
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