Indiana Code
Chapter 4. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
23-19-4-9. Withdrawal of Registration

Sec. 9. Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective sixty (60) days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this article unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this article. The commissioner may institute a revocation or suspension proceeding under section 12 of this chapter within one (1) year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending.
As added by P.L.27-2007, SEC.23.

Structure Indiana Code

Indiana Code

Title 23. Business and Other Associations

Article 19. Indiana Uniform Securities Act

Chapter 4. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

23-19-4-1. Broker-Dealer Registration; Exemptions; Restrictions on Employment or Association; Foreign Transactions

23-19-4-2. Agent Registration; Exemptions; Restrictions on Employment or Association; Restrictions if No Affiliation

23-19-4-3. Investment Adviser Registration; Exemptions; Restrictions on Employment or Association

23-19-4-4. Investment Adviser Representative Registration; Exemptions; Restrictions on Conducting Business; Referrals

23-19-4-5. Federal Covered Investment Adviser Requirements; Exemptions; Filing

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

23-19-4-7. Succession; Organization Change; Name Change; Change of Control

23-19-4-8. Termination Notice; Transfer of Employment or Association; Temporary Registration; Prevention or Suspension of Transfer; Cancellation or Termination of Registration; Reinstatement

23-19-4-9. Withdrawal of Registration

23-19-4-10. Fees; Transmittal of Fee; Exception

23-19-4-11. Minimum Financial Requirements; Financial Reports; Amendment; Records; Audits or Inspections; Insurance or Posting Bond; Supervision; Continuing Education; Compliance Reports

23-19-4-11.5. Prohibit Selection of Broker-Dealer for Completion of Compliance Report in Consecutive Years; Prohibit Selection of Certain Offices

23-19-4-12. Denial, Condition, Revocation, Suspension, or Limitation of Registration; Censure, Bar, or Civil Penalty for Violation; Grounds; Examination; Procedure

23-19-4-13. Third Party Solicitor; Required Written Disclosures; Restrictions; Exemptions