Section 710IAC4-12-2. Appearance and practice before division

   (a) In a proceeding before the division, the following applies:

(1) An individual may appear on his or her own behalf.

(2) A member of a partnership may represent the partnership.

(3) A bona fide officer of a trust or association may represent the trust or association.

(4) An officer or employee of a state commission or of a department or political subdivision of a state may represent the state commission or the department or political subdivision of the state.

  (b) Any person may and all corporations shall be represented in any proceeding by an attorney at law duly admitted to practice in the state of Indiana.

  (c) A person shall not be represented at any hearing before the division other than as:

(1) provided in subsections (a) and (b); or

(2) otherwise permitted by the commissioner.

  (d) Before appearing before the division, the following must be done:

(1) When an individual appears on his or her own behalf before the division in a particular proceeding that involves a hearing or an opportunity for hearing, he or she shall file with the commissioner or otherwise state on the record an address to which any notice or other written communication required to be served upon him or her or furnished to him or her may be sent.

(2) When an attorney appears before the division in a representative capacity in a particular proceeding that involves a hearing or an opportunity for hearing, he or she shall file with the commissioner a written notice of the appearance that shall state:

(A) his or her:

(i) name;

(ii) address; and

(iii) telephone number; and

(B) the name and address of the person or persons on whose behalf he or she appears.

Any additional notice or other written communication required to be served or furnished to the client may be sent to the attorney at the latter's stated address.

(3) Any person appearing or practicing before the division in a representative capacity may be required to file a power of attorney with the commissioner showing his or her authority to act in this capacity.

  (e) The commissioner may deny, temporarily or permanently, the privilege of appearing or practicing before the division in any way to any person, other than an attorney duly admitted to practice law in Indiana, who is found by the commissioner, after notice of and opportunity for hearing in the matter:

(1) not to possess the requisite qualifications to represent others;

(2) to be lacking in character or integrity; or

(3) to have engaged in unethical or improper professional conduct.

  (f) Contemptuous conduct at any hearing before the division shall be ground for exclusion from the hearing and for summary suspension without a hearing for the duration of the hearing.

  (g) For purposes of this rule, "practicing before the division" shall include, but not be limited to, the following:

(1) Transacting any business with the division.

(2) The preparation of any statement, opinion, or other paper by any:

(A) attorney;

(B) accountant;

(C) engineer; or

(D) other expert;

filed with the commissioner in any registration statement, notification, application, report, or other document with the consent of the person described in clauses (A) through (D).

  (h) In any proceeding where an attorney has filed an appearance under subsection (d)(2), any notice or other written communication required to be served upon or furnished to the client should also be served upon or furnished to the attorney (or one (1) of the attorneys if the client is represented by more than one (1) attorney) in the same manner as prescribed for his or her client, even though the communication also is furnished directly to the client. (Securities Division; 710 IAC 4-12-2; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA)