20090204-IR-710090084NIA OVERVIEW: Adopts rules for the Indiana Uniform Securities Act, IC 23-19, concerning definitions, exemptions from registration of securities, registration of securities, disclosure requirements, repor...

TITLE 710 SECURITIES DIVISION

Notice of Intent to Adopt a Rule

LSA Document #09-84

Under IC 4-22-2-23, the Securities Division intends to adopt a rule concerning the following:

OVERVIEW: Adopts rules for the Indiana Uniform Securities Act, IC 23-19, concerning definitions, exemptions from registration of securities, registration of securities, disclosure requirements, reporting requirements, review of securities offerings, registration of broker-dealers, registration of agents, registration of investment advisers, standards of practice, Securities Division proceedings, Securities Division records and investigations, and Securities Division rules of practice for investigations. Repeals 710 IAC 1-8 through 710 IAC 1-21. Questions concerning the proposed rule may be addressed to the following telephone number: [phone]. Statutory authority: IC 23-19-6-5.

For purposes of IC 4-22-2-28.1, the Small Business Regulatory Coordinator for this rule is:

Jeffrey Bush, Chief Deputy Commissioner

Indiana Secretary of State Todd Rokita

Securities Division

Indiana Government Center South

302 West Washington Street, Room E111

Indianapolis, IN 46204

[phone]

[e-mail]

Posted: 02/04/2009 by Legislative Services Agency

DIN: 20090204-IR-710090084NIA

Composed: Nov 01,2016 12:35:24AM EDT

A PDF version of this document.