PocketLaw | Indiana Code | Broker-Dealers, Agents, Investment

Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

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Section
23-19-4-1

Broker-Dealer Registration; Exemptions; Restrictions on Employment or Association; Foreign Transactions

Section
23-19-4-2

Agent Registration; Exemptions; Restrictions on Employment or Association; Restrictions if No Affiliation

Section
23-19-4-3

Investment Adviser Registration; Exemptions; Restrictions on Employment or Association

Section
23-19-4-4

Investment Adviser Representative Registration; Exemptions; Restrictions on Conducting Business; Referrals

Section
23-19-4-5

Federal Covered Investment Adviser Requirements; Exemptions; Filing

Section
23-19-4-6

Application for Initial Registration; Requirements; Amendments; National Criminal History Background Check for Investment Adviser Representative; Effective Date; Renewal; Conditions and Waivers

Section
23-19-4-7

Succession; Organization Change; Name Change; Change of Control

Section
23-19-4-8

Termination Notice; Transfer of Employment or Association; Temporary Registration; Prevention or Suspension of Transfer; Cancellation or Termination of Registration; Reinstatement

Section
23-19-4-9

Withdrawal of Registration

Section
23-19-4-10

Fees; Transmittal of Fee; Exception

Section
23-19-4-11

Minimum Financial Requirements; Financial Reports; Amendment; Records; Audits or Inspections; Insurance or Posting Bond; Supervision; Continuing Education; Compliance Reports

Section
23-19-4-11.5

Prohibit Selection of Broker-Dealer for Completion of Compliance Report in Consecutive Years; Prohibit Selection of Certain Offices

Section
23-19-4-12

Denial, Condition, Revocation, Suspension, or Limitation of Registration; Censure, Bar, or Civil Penalty for Violation; Grounds; Examination; Procedure