Ind. Code § 23-19-4.1-9

Authority of broker-dealers and investment advisers to provide relevant records to protective agencies or law enforcement; records confidential

Known as the Indiana Uniform Securities Act

The act spans §§ 23-19-1-0.2 to 23-19-7-9 (80 sections).

As added by P.L.39-2016, SEC.1

Sec. 9. (a) A broker-dealer or investment adviser may provide to protective agencies or law enforcement access to or copies of records that are relevant to the suspected financial exploitation of a financially vulnerable adult. The records may include records relating to:

(1) disbursement of any funds from an account of the financially vulnerable adult; and

(2) disbursements of funds that comprise the suspected financial exploitation of a financially vulnerable adult.

(b) All records made available to the protective agencies under this section are confidential under IC 5-14-3.

Official source: Indiana General Assembly. Reproduced from public-domain Indiana statutes; confirm against the official source for the current text. Not legal advice.