Chapter
Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
- Ind. Code § 23-19-4-1— Broker-dealer registration; exemptions; restrictions on employment or association; foreign transactions
- Ind. Code § 23-19-4-2— Agent registration; exemptions; restrictions on employment or association; restrictions if no affiliation
- Ind. Code § 23-19-4-3— Investment adviser registration; exemptions; restrictions on employment or association
- Ind. Code § 23-19-4-4— Investment adviser representative registration; exemptions; restrictions on conducting business; referrals
- Ind. Code § 23-19-4-5— Federal covered investment adviser requirements; exemptions; filing
- Ind. Code § 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
- Ind. Code § 23-19-4-7— Succession; organization change; name change; change of control
- Ind. Code § 23-19-4-8— Termination notice; transfer of employment or association; temporary registration; prevention or suspension of transfer; cancellation or termination of registration; reinstatement
- Ind. Code § 23-19-4-9— Withdrawal of registration
- Ind. Code § 23-19-4-10— Fees; transmittal of fee; exception
- Ind. Code § 23-19-4-11— Minimum financial requirements; financial reports; amendment; records; audits or inspections; insurance or posting bond; supervision; continuing education; compliance reports
- Ind. Code § 23-19-4-11.5— Prohibit selection of broker-dealer for completion of compliance report in consecutive years; prohibit selection of certain offices
- Ind. Code § 23-19-4-12— Denial, condition, revocation, suspension, or limitation of registration; censure, bar, or civil penalty for violation; grounds; examination; procedure
- Ind. Code § 23-19-4-13— Third party solicitor; required written disclosures; restrictions; exemptions