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Indiana Code

Chapter 4

IC 23-19-4

Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

1Broker-dealer registration; exemptions; restrictions on employment or association; foreign transactions 1.5Exemption from registration for merger and acquisition brokers; exceptions 2Agent registration; exemptions; restrictions on employment or association; restrictions if no affiliation 3Investment adviser registration; exemptions; restrictions on employment or association 4Investment adviser representative registration; exemptions; restrictions on conducting business; referrals 5Federal covered investment adviser requirements; exemptions; filing 6Application for initial registration; requirements; amendments; national criminal history background check for investment adviser representative; effective date; renewal; conditions and waivers 7Succession; organization change; name change; change of control 8Termination notice; transfer of employment or association; temporary registration; prevention or suspension of transfer; cancellation or termination of registration; reinstatement 9Withdrawal of registration 10Fees; transmittal of fee; exception 11Minimum financial requirements; financial reports; amendment; records; audits or inspections; insurance or posting bond; supervision; compliance reports 11.5Prohibit selection of broker-dealer for completion of compliance report in consecutive years; prohibit selection of certain offices 12Denial, condition, revocation, suspension, or limitation of registration; censure, bar, or civil penalty for violation; grounds; examination; procedure 13Third party solicitor; required written disclosures; restrictions; exemptions