Authority: IC 23-19-4-11

Affected: IC 23-19-4-11

Sec. 1. (a) Persons wishing to apply as an approved examiner to submit compliance reports under IC 23-19-4-11(i) must have an appropriate background, such as:

1. (1) a designation as a certified public accountant;
2. (2) employment as a public accountant;
3. (3) a current license to practice law in Indiana; or
4. (4) previous experience in securities or auditing professions acceptable to the commissioner.

(b) The applicant must not be currently registered or employed by a broker-dealer, regardless of whether that broker-dealer is registered in Indiana.

(c) The applicant must complete an application on a form acceptable to the commissioner and provide all requested information.

(Securities Division; 710 IAC 4-15-1; filed Jun 28, 2010, 2:42 p.m.: 20100728-IR-710090619FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA; readopted filed Nov 30, 2022, 4:01 p.m.: 20221228-IR- 710220301RFA)