20090812-IR-710090619NIA OVERVIEW: Adopts rules relating to the broker-dealer compliance reports concerning the activities of the auditors on the approved auditor list. Questions concerning the proposed rule may be addressed...

TITLE 710 SECURITIES DIVISION

Notice of Intent to Adopt a Rule LSA Document #09-619

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

OVERVIEW: Adopts rules relating to the broker-dealer compliance reports concerning the activities of the auditors on the approved auditor list. Questions concerning the proposed rule may be addressed to the following telephone number: [phone]. Statutory authority: IC 23-19-4-11.

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: 08/12/2009 by Legislative Services Agency

DIN: 20090812-IR-710090619NIA

Composed: Nov 01,2016 12:42:56AM EDT

A PDF version of this document.