Securities Division Docket 250231 Notice

in-20250709-IR-710250231ARA: IC 4-22-2-19 and IC 4-22-2-25 Notices — 710 IAC (LSA #250231)

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Summary

This notice is submitted in compliance with IC 4-22-2-19, which requires an agency to begin the rulemaking process not later than 60 days after the effective date of the statute that authorizes the rule, unless a notice is filed with the publisher that includes the reasons why rulemaking began more than 60 days after the effective date. The proposed rule is being enacted to comply with IC 4-22-2-19.6 (HEA 1623-2023) by setting the factors considered when the Indiana Securities Division assesses fines, fees, and civil penalties.  Pursuant to statute, the securities commissioner may assess a penalty of up to $10,000 for each violation incurred.  The proposed rule establishes mitigating and aggravating factors that may be considered when determining the specific amount of fines, fees, or civil penalties to be assessed up to the $10,000 statutory amount.

The agency’s own summary, as published.

The rule, in full

174 words as published, July 09, 2025. View the original →

TITLE 710 SECURITIES DIVISION 60 Day Requirement (IC 4-22-2-19) LSA Document #25-231 This notice is submitted in compliance with IC 4-22-2-19, which requires an agency to begin the rulemaking process not later than 60 days after the effective date of the statute that authorizes the rule, unless a notice is filed with the publisher that includes the reasons why rulemaking began more than 60 days after the effective date. The proposed rule is being enacted to comply with IC 4-22-2-19.6 (HEA 1623-2023) by setting the factors considered when the Indiana Securities Division assesses fines, fees, and civil penalties.  Pursuant to statute, the securities commissioner may assess a penalty of up to $10,000 for each violation incurred.  The proposed rule establishes mitigating and aggravating factors that may be considered when determining the specific amount of fines, fees, or civil penalties to be assessed up to the $10,000 statutory amount. The rulemaking process was initiated on May 14, 2025, by publishing the Notice of First Public Comment Period (DIN: 20250514-IR-710250231FNA). Marie Castetter Commissioner Indiana Securities Division

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