Sec. 4. (a) Except as otherwise provided in subsection (b), a rule adopted or order issued under this article may require the filing of a prospectus, a pamphlet, a circular, a form letter, an advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this article.
(b) This section does not apply to sales and advertising literature specified in subsection (a) that relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by IC 23-19-2-1, IC 23-19-2-2, or IC 23-19-2-3 except as required under IC 23-19-2-1(7).
As added by P.L.27-2007, SEC.23.
Structure Indiana Code
Title 23. Business and Other Associations
Article 19. Indiana Uniform Securities Act
Chapter 5. Fraud and Liabilities
23-19-5-1. Fraudulent or Deceitful Acts
23-19-5-4. Sales and Advertising Literature Filing
23-19-5-5. Filing False or Misleading Statements
23-19-5-6. Filings Related to Fact of Registration; Unlawful Act