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Indiana Administrative Code

Rule 9

Investment Advisers

Securities Division

1Investment adviser registration application 2Investment adviser representative application 3Termination or withdrawal from registration 4Incomplete and abandoned applications 5Exemption for certain broker-dealers 6Examinations 7Books and records; maintenance 8Supervision of investment adviser representatives and employees 9Written disclosure statements 10Performance based compensation exemption 11Certain transactions not deemed assignments 12Financial statements and reporting requirements for investment advisers 13Custody and possession of client funds or securities 14Agency cross transactions for advisory clients 15Dishonest or unethical practices 16Amendment of registration documents filed by investment advisers and investment adviser representatives 17Refunds 18Unlawful practices; investment advisers and investment adviser representatives