TITLE 710 SECURITIES DIVISION

Notice of Intent to Adopt a Rule

LSA Document #09-84

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. Repeals 710 IAC 1-8 through 710 IAC 1-21. 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: 20090204-IR-710090084NIA

Composed: May 04,2024 2:41:45PM EDT

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