Indiana Code
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 - Sec. 1. (a) It is unlawful for a person to...

23-19-4-2. Agent Registration; Exemptions; Restrictions on Employment or Association; Restrictions if No Affiliation - Sec. 2. (a) It is unlawful for an individual to...

23-19-4-3. Investment Adviser Registration; Exemptions; Restrictions on Employment or Association - Sec. 3. (a) It is unlawful for a person to...

23-19-4-4. Investment Adviser Representative Registration; Exemptions; Restrictions on Conducting Business; Referrals - Sec. 4. (a) It is unlawful for an individual to...

23-19-4-5. Federal Covered Investment Adviser Requirements; Exemptions; Filing - Sec. 5. (a) Except with respect to a federal covered...

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 - Sec. 6. (a) A person shall register as a broker-dealer,...

23-19-4-7. Succession; Organization Change; Name Change; Change of Control - Sec. 7. (a) A broker-dealer or investment adviser may succeed...

23-19-4-8. Termination Notice; Transfer of Employment or Association; Temporary Registration; Prevention or Suspension of Transfer; Cancellation or Termination of Registration; Reinstatement - Sec. 8. (a) If an agent registered under this article...

23-19-4-9. Withdrawal of Registration - Sec. 9. Withdrawal of registration by a broker-dealer, agent, investment...

23-19-4-10. Fees; Transmittal of Fee; Exception - Sec. 10. (a) A person shall pay a fee of...

23-19-4-11. Minimum Financial Requirements; Financial Reports; Amendment; Records; Audits or Inspections; Insurance or Posting Bond; Supervision; Continuing Education; Compliance Reports - Sec. 11. (a) Subject to Section 15(h) of the Securities...

23-19-4-11.5. Prohibit Selection of Broker-Dealer for Completion of Compliance Report in Consecutive Years; Prohibit Selection of Certain Offices - Sec. 11.5. (a) As used in this section, "office of...

23-19-4-12. Denial, Condition, Revocation, Suspension, or Limitation of Registration; Censure, Bar, or Civil Penalty for Violation; Grounds; Examination; Procedure - Sec. 12. (a) If the commissioner finds that the order...

23-19-4-13. Third Party Solicitor; Required Written Disclosures; Restrictions; Exemptions - Sec. 13. (a) For purposes of this section, "adviser" refers...