20100331-IR-710090619PHA Notice of Public Hearing LSA Document #09-619

TITLE 710 SECURITIES DIVISION

Notice of Public Hearing LSA Document #09-619

Notice of Public Hearing

Under IC 4-22-2-24, notice is hereby given that on April 26, 2010, at 1:30 p.m., at the Indiana Government Center South, 402 West Washington Street, Conference Center Room D, Indianapolis, Indiana, the Securities Division will hold a public hearing on a proposed rule adding 710 IAC 4-15, which details procedures by which a broker-dealer selected for completion of a compliance report can schedule and submit a report.

The proposed rule merely lays out the qualifications to apply to become an approved compliance examiner, the method for submitting the compliance report, and time limitations on using approved compliance examiners. The rule does not impose any additional costs under IC 4-22-2-24(d)(3).

Copies of these rules are now on file at the Indiana Government Center South, 302 West Washington Street, Room E111 and Legislative Services Agency, One North Capitol, Suite 325, Indianapolis, Indiana and are open for public inspection.

Chris Naylor, Commissioner

Securities Division

Secretary of State

Posted: 03/31/2010 by Legislative Services Agency

DIN: 20100331-IR-710090619PHA

Composed: Nov 01,2016 12:52:41AM EDT

A PDF version of this document.