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2018 Indiana Code
TITLE 23. Business and other Associations
ARTICLE 19. INDIANA UNIFORM SECURITIES ACT
CHAPTER 4.1. Financially Vulnerable Adult
23-19-4.1-10. Training resources for broker-dealers, investment advisers, and qualified individuals; availability on secretary of state's web site
Universal Citation: IN Code § 23-19-4.1-10 (2018)
IC 23-19-4.1-10 Training resources for broker-dealers, investment advisers, and qualified individuals; availability on secretary of state's web site
Sec. 10. Not later than September 1, 2017, the commissioner shall develop and make available on the secretary of state's Internet web site information that includes training resources to assist broker-dealers, investment advisers, and qualified individuals in the prevention and detection of financial exploitation of financially vulnerable adults. The training resources must include information on:
(1) indicators of financial exploitation of financially vulnerable adults; and
(2) the potential steps broker-dealers, investment advisers, and qualified individuals can take, under Indiana law, to prevent suspected financial exploitation of financially vulnerable adults.
As added by P.L.39-2016, SEC.1. Amended by P.L.158-2017, SEC.13.
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