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2018 Indiana Code
TITLE 23. Business and other Associations
ARTICLE 19. INDIANA UNIFORM SECURITIES ACT
CHAPTER 4. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
- 23-19-4-1. Broker-dealer registration; exemptions; restrictions on employment or association; foreign transactions
- 23-19-4-2. Agent registration; exemptions; restrictions on employment or association; restrictions if no affiliation
- 23-19-4-3. Investment adviser registration; exemptions; restrictions on employment or association
- 23-19-4-4. Investment adviser representative registration; exemptions; restrictions on conducting business; referrals
- 23-19-4-5. Federal covered investment adviser requirements; exemptions; filing
- 23-19-4-6. Application for initial registration; requirements; amendments; national criminal history background check for investment adviser representative; effective date; renewal; conditions and waivers
- 23-19-4-7. Succession; organization change; name change; change of control
- 23-19-4-8. Termination notice; transfer of employment or association; temporary registration; prevention or suspension of transfer; cancellation or termination of registration; reinstatement
- 23-19-4-9. Withdrawal of registration
- 23-19-4-10. Fees; transmittal of fee; exception
- 23-19-4-11. Minimum financial requirements; financial reports; amendment; records; audits or inspections; insurance or posting bond; supervision; continuing education; compliance reports
- 23-19-4-11.5. Prohibit selection of broker-dealer for completion of compliance report in consecutive years; prohibit selection of certain offices
- 23-19-4-12. Denial, condition, revocation, suspension, or limitation of registration; censure, bar, or civil penalty for violation; grounds; examination; procedure
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