in-20260923-IR-710250829RAA: (710 IAC 4)

Summary

I. Statement Whether the Subject Matter Covered by the Rule Remains Carried out by the Agency III. Analysis of fees, fines, and civil penalties under IC 4-22-2-19.6 IV. Cost-Benefit, Economic Impact, Fiscal Impact, or Regulatory Burden Statements VIII. Changes in Technology, Economic Conditions, or Other Factors More Restrictive, generally the same, or less restrictive than Indiana ARSD 20:08; ARSD 20:08:01; ARSD 20:08:04; ARSD 20:08:03:01 - 20:08:03:05; ARSD 20:08:03:08 - 20:08:03:18; ARSD 20:08:04, 20:08:05; IDAPA 12.01.08.044, IDAPA 12.01.08.088, IDAPA 12.01.08.093, IDAPA 12.01.08.094 XII. Contact Information of Staff to Answer Substantive Questions The Indiana Securities Division ("Division") proposes the readoption of 710 IAC 4. The proposed rule regulates the Indiana Uniform Securities Act ("IUSA"), IC 23-19 et seq. Solicitations of Interest Prior to the Filing of a Registration Statement or Notice of Claim of Exemption from Registration Under Section 4 of this Rule Contents of Advertisement, Article, or Communication Relating to Registered Securities Contents of Advertisement, Article, or Communication Relating to Registered Securities Expiration, Renewal, and Termination or Suspension of Registration Supervision of Investment Adviser Representatives and Employees Financial Statements and Reporting Requirements for Investment Advisers Amendment of Registration Documents Filed by Investment Advisers and Investment Adviser Representatives Unlawful Practices;...

The agency’s own summary, as published.