Indiana · Regulations
Article 1 — ARTICLE 1. GENERAL PROVISIONS
73 sections
24 groups
- Rule 1 — Definitions (Repealed)1 section
- Rule 2 — Form and Requisites of Application for Registration of Securities; Reports to Commissioner; Rulings as to Materiality; Unfair Practices (Repealed)1 section
- Rule 3 — Secondary Market (Repealed)1 section
- Rule 3.5 — 5. Nonpublic Offering Exemption (Repealed)1 section
- Rule 4 — Broker-Dealers and Agents; Requirements and Licensing Procedures19 sections
- Rule 4.1 — 1. Investment Advisor (Repealed)1 section
- Rule 5 — Rules on Accounting; General Application; Commercial and Industrial Companies (Repealed)1 section
- Rule 6 — Rules of Practice; Proceedings Before the Division; Hearings Before the Commissioner (Repealed)1 section
- Rule 7 — Office Hours and Procedures (Repealed)1 section
- Rule 8 — General Provisions (Repealed)1 section
- Rule 9 — Securities Registration (Repealed)1 section
- Rule 10 — Disclosure Requirements (Repealed)1 section
- Rule 11 — Reporting Requirements (Repealed)1 section
- Rule 12 — Merit Standards (Repealed)1 section
- Rule 13 — Exemptions (Repealed)1 section
- Rule 14 — Broker-Dealers (Repealed)1 section
- Rule 15 — Agents (Repealed)1 section
- Rule 16 — Investment Advisers24 sections
- Rule 17 — Standards of Practice (Repealed)1 section
- Rule 18 — Financial Statements (Repealed)1 section
- Rule 19 — Division Proceedings (Repealed)1 section
- Rule 20 — Records and Investigations (Repealed)1 section
- Rule 21 — Investigation; Rules of Practice (Repealed)1 section
- Rule 22 — Loan Broker Regulations9 sections