Indiana Code
Chapter 4.1. Financially Vulnerable Adult
23-19-4.1-5. "Qualified Individual"

Sec. 5. As used in this chapter, "qualified individual" means an individual associated with a broker-dealer or investment adviser who serves in a supervisory, compliance, or legal capacity as part of the individual's job.
As added by P.L.39-2016, SEC.1. Amended by P.L.158-2017, SEC.8.

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Structure Indiana Code

Indiana Code

Title 23. Business and Other Associations

Article 19. Indiana Uniform Securities Act

Chapter 4.1. Financially Vulnerable Adult

23-19-4.1-1. "Financial Exploitation"

23-19-4.1-2. Repealed

23-19-4.1-2.1. "Financially Vulnerable Adult"

23-19-4.1-3. "Immediate Family Member"

23-19-4.1-4. "Protective Agencies"

23-19-4.1-5. "Qualified Individual"

23-19-4.1-6. Suspected Financial Exploitation of Financially Vulnerable Adult; Duty of Qualified Individual to Report and Notify Commissioner; Authorized Additional Notifications

23-19-4.1-7. Qualified Individual's Authority to Refuse to Disburse Funds; Notice to Protective Agencies and Parties on Account; Expiration of Refusal; Court Order Extending Refusal or Providing Protective Relief

23-19-4.1-8. Immunity for Broker-Dealers, Investment Advisers, and Qualified Individuals; Authority of Commissioner to Access Books and Records Not Impeded

23-19-4.1-9. Authority of Broker-Dealers and Investment Advisers to Provide Relevant Records to Protective Agencies or Law Enforcement; Records Confidential

23-19-4.1-10. Training Resources for Broker-Dealers, Investment Advisers, and Qualified Individuals; Availability on Secretary of State's Web Site

23-19-4.1-11. Commissioner's Authority to Adopt Rules