TITLE 710 SECURITIES DIVISION
Notice of Intent to Adopt a Rule
LSA Document #09-619
Under
IC 4-22-2-23, the Securities Division intends to adopt a rule concerning the following:
OVERVIEW: Adopts rules relating to the broker-dealer compliance reports concerning the activities of the auditors on the approved auditor list. Questions concerning the proposed rule may be addressed to the following telephone number: (317) 232-6681. Statutory authority:
IC 23-19-4-11.
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
Posted: 08/12/2009 by Legislative Services Agency
DIN: 20090812-IR-710090619NIA
Composed: May 02,2024 2:54:29PM EDT
A
PDF version of this document.
