Authority: IC 23-19-6-5

Affected: IC 23-19-6

Sec. 2. (a) Any person may submit to the division a complaint concerning the activities of an issuer, broker-dealer, or agent.

(b) Complaints shall be made in writing and shall be signed and verified by the person making the complaint. The complaint should include a succinct, definite statement of the facts on which it is based, including the:

1. (1) names and addresses of the persons involved;
2. (2) dates of the events complained of; and
3. (3) nature of the interest of the person making the complaint.

(c) The person making a complaint should:

1. (1) be prepared to support the facts alleged by sufficient evidence; and
2. (2) retain and make the evidence available to the division on its request.

(d) The staff of the division is available for personal conferences with persons wishing to file a complaint and to assist in the preparation of complaints.

(Securities Division; 710 IAC 4-13-2; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR- 710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA; readopted filed Nov 30, 2022, 4:01 p.m.: 20221228-IR-710220301RFA)