Number of matches: 694
1.
[2013] 710 IAC 1 General Provisions
(PDF)
[2013] 710 IAC 1 General Provisions
TITLE 710
SECURITIES DIVISION
ARTICLE 1. GENERAL
...
2.
[2012] 710 IAC 1 General Provisions
(PDF)
...
SECURITIES DIVISION
ARTICLE 1. GENERAL PROVISIONS
NOTE: IC 23-2-1 was repealed by P.L.27-2007, SECTION 37, effective July 1, 2008.
Rule 1. Definitions (Repealed)
(Repealed by
Securities ...
3.
[2011] 710 IAC 1 General Provisions
(PDF)
...
SECURITIES DIVISION
ARTICLE 1. GENERAL PROVISIONS
NOTE: IC 23-2-1 was repealed by P.L.27-2007, SECTION 37, effective July 1, 2008.
Rule 1. Definitions (Repealed)
(Repealed by
Securities ...
4.
[2010] 710 IAC 1 General Provisions
(PDF)
...
misdemeanor or felony involving fraud in any form and any civil or criminal
litigation involving any federal or state
securities law to which any person is or has been a party.
(B) Provide in tabular
...
5.
[2009] 710 IAC 1 General Provisions
(PDF)
...
misdemeanor or felony involving fraud in any form and any civil or criminal
litigation involving any federal or state
securities law to which any person is or has been a party.
(B) Provide in tabular
...
6.
[2008] 710 IAC 1 General Provisions
(PDF)
...
or state
securities law to which any person is or has been a party.
(B) Provide in tabular form the following information as to each person identified in clause (A). Present holdings shall
be
...
7.
[2006] 710 IAC 1 General Provisions
(PDF)
...
civil or criminal
litigation involving any federal or state
securities law to which any person is or has been a party.
(B) Provide in tabular form the following information as to each person
...
8.
[2007] 710 IAC 1 General Provisions
(PDF)
...
securities law to which any person is or has been a party.
(B) Provide in tabular form the following information as to each person identified in clause (A). Present holdings shall
be as of a
...
9.
[Latest Update] 710 IAC 4 UNIFORM SECURITIES
(PDF)
...
requirements of
law otherwise applicable to these persons.
(d) By authority delegated to the commissioner by IC 23-19-2-3 to create a rule, any offer or sale of
securities offered or
sold in
...
10.
[2022] 710 IAC 4 Uniform Securities
(PDF)
...
requirements of
law otherwise applicable to these persons.
(d) An issuer of a federal covered security under Section 18(b)(4)(D) of the
Securities Act of 1933 (15 U.S.C. 77r(b)(4)(D))
is required to
...
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Number of matches: 694
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