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IC 23-19-4 – Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers | Midpage
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Indiana Code
Title 23
19
Chapter 4
IC 23-19-4
Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
1
Broker-dealer registration; exemptions; restrictions on employment or association; foreign transactions
1.5
Exemption from registration for merger and acquisition brokers; exceptions
2
Agent registration; exemptions; restrictions on employment or association; restrictions if no affiliation
3
Investment adviser registration; exemptions; restrictions on employment or association
4
Investment adviser representative registration; exemptions; restrictions on conducting business; referrals
5
Federal covered investment adviser requirements; exemptions; filing
6
Application for initial registration; requirements; amendments; national criminal history background check for investment adviser representative; effective date; renewal; conditions and waivers
7
Succession; organization change; name change; change of control
8
Termination notice; transfer of employment or association; temporary registration; prevention or suspension of transfer; cancellation or termination of registration; reinstatement
9
Withdrawal of registration
10
Fees; transmittal of fee; exception
11
Minimum financial requirements; financial reports; amendment; records; audits or inspections; insurance or posting bond; supervision; compliance reports
11.5
Prohibit selection of broker-dealer for completion of compliance report in consecutive years; prohibit selection of certain offices
12
Denial, condition, revocation, suspension, or limitation of registration; censure, bar, or civil penalty for violation; grounds; examination; procedure
13
Third party solicitor; required written disclosures; restrictions; exemptions