TITLE 710 SECURITIES DIVISION

Notice of Intent to Adopt a Rule

LSA Document #08-442

Under IC 4-22-2-23, the Securities Division intends to adopt a rule concerning the following:

OVERVIEW: Adopts rules for the Indiana Uniform Securities Act, IC 23-19, concerning definitions, exemptions from registration of securities, registration of securities, disclosure requirements, reporting requirements, review of securities offerings, registration of broker-dealers, registration of agents, registration of investment advisers, standards of practice, Securities Division proceedings, Securities Division records and investigations, and Securities Division rules of practice for investigations. Questions concerning the proposed rule may be addressed to the following telephone number: (317) 232-6681. Statutory authority: IC 23-19-6-5.

For purposes of IC 4-22-2-28.1, the Small Business Regulatory Coordinator for this rule is:

Jeffrey Bush, Chief Deputy Commissioner

Indiana Secretary of State Todd Rokita

Securities Division

Indiana Government Center South

302 West Washington Street, Room E111

Indianapolis, IN 46204

(317) 232-6681

jabush@sos.in.gov

DIN: 20080618-IR-710080442NIA

Composed: Apr 28,2024 4:28:16PM EDT

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