Authority: IC 23-19-6-5

Affected: IC 23-19-4-6

Sec. 3. (a) Every agent or applicant shall immediately notify the division in writing of any material changes in any:

1. (1) information;
2. (2) exhibits; or
3. (3) schedules;

disclosed in his or her application. A correction amendment shall be filed at the time of the occurrence or discovery of the change.

(b) Material changes include, but are not limited to, the following:

1. (1) Change of address.
2. (2) Termination of agency with the broker-dealer or issuer with whom licensed.

3. (3) The filing of a criminal charge or civil action against the applicant in which a:

   1. (A) fraudulent;
   2. (B) dishonest; or
   3. (C) unethical;
4. act is alleged, a violation of IC 23-19 is alleged, or a violation of IC 23-19 is involved.

5. (4) The agent or applicant is the subject of:

   1. (A) an order;
   2. (B) a proceeding; or
   3. (C) an institution of a proceeding;
6. by or in any court or administrative agency, involving any aspect of the securities business, any felony, or a U.S. Post Office fraud order.

(Securities Division; 710 IAC 4-8-3; 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)