Section 710IAC4-15-1. Qualifications of approved auditors

Latest version.

   (a) Persons wishing to apply as an approved examiner to submit compliance reports under IC 23-19-4-11(i) must have an appropriate background, such as:

(1) a designation as a certified public accountant;

(2) employment as a public accountant;

(3) a current license to practice law in Indiana; or

(4) previous experience in securities or auditing professions acceptable to the commissioner.

  (b) The applicant must not be currently registered or employed by a broker-dealer, regardless of whether that broker-dealer is registered in Indiana.

  (c) The applicant must complete an application on a form acceptable to the commissioner and provide all requested information. (Securities Division; 710 IAC 4-15-1; filed Jun 28, 2010, 2:42 p.m.: 20100728-IR-710090619FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA)

                    
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