68 IAC 4-1-5 Fraudulent and deceptive practices prohibited

Sec. 5. The executive director may initiate a disciplinary action under 68 IAC 13 if a person, in connection with the purchase or sale of any security issued by a casino licensee, supplier licensee, affiliate, or controlling person thereof: (1) is found guilty of; (2) pleads nolo contendere to; (3) is the subject of a final cease and desist order with respect to; (4) is subject to an order of permanent injunction issued on the basis of; or (5) is the subject of a similar final action taken on the basis of; a violation of Rule 10b-5 promulgated by the Securities and Exchange Commission under Section 10(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) or a violation of IC 23-19-1.