710 IAC 4-15-1
710 IAC 4-15-1 Qualifications of approved auditors
Cite as Ind. Admin. Code tit. 710, r. 4-15-1
Sec. 1. (a) Persons wishing to apply as an approved examiner to submit compliance reports under IC 23-19-4-11(i) must have
an appropriate background, such as:
(1) a designation as a certified public accountant;
(2) employment as a public accountant;
(3) a current license to practice law in Indiana; or
(4) previous experience in securities or auditing professions acceptable to the commissioner.
(b) The applicant must not be currently registered or employed by a broker-dealer, regardless of whether that broker-dealer is registered
in Indiana.
(c) The applicant must complete an application on a form acceptable to the commissioner and provide all requested information.