710 IAC 4-8-3 Notice of changes in circumstances

Sec. 3. (a) Every agent or applicant shall immediately notify the division in writing of any material changes in any: (1) information; (2) exhibits; or (3) schedules; disclosed in his or her application. A correction amendment shall be filed at the time of the occurrence or discovery of the change. (b) Material changes include, but are not limited to, the following: (1) Change of address. (2) Termination of agency with the broker-dealer or issuer with whom licensed. (3) The filing of a criminal charge or civil action against the applicant in which a: (A) fraudulent; (B) dishonest; or (C) unethical; act is alleged, a violation of IC 23-19 is alleged, or a violation of IC 23-19 is involved. (4) The agent or applicant is the subject of: (A) an order; (B) a proceeding; or (C) an institution of a proceeding; by or in any court or administrative agency, involving any aspect of the securities business, any felony, or a U.S. Post Office fraud order.