TITLE 710 SECURITIES DIVISION

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

OVERVIEW: Adopts rules relating to the types of fees that registered investment advisers may charge, exemptions from registration for investment advisers, required documents for registered investment advisers, dishonest and unethical practices for investment advisers and broker-dealers, and the securities division administrative process. 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 Charles P. White

Securities Division

Indiana Government Center South

302 West Washington Street, Room E111

Indianapolis, IN 46204

(317) 232-6681

jabush@sos.in.gov

For purposes of IC 4-22-2-28.1, the Small Business Ombudsman designated by IC 5-28-17-5 is:

Eric P. Shields

Indiana Economic Development Corporation

One North Capitol, Suite 700

Indianapolis, IN 46204

(317) 234-3997

smallbizombudsman@iedc.in.gov

Resources available to regulated entities through the small business ombudsman include the ombudsman's duties stated in IC 5-28-17-5, specifically IC 5-28-17-5(9), investigating and attempting to resolve any matter regarding compliance by a small business with a law, rule, or policy administered by a state agency, either as a party to a proceeding or as a mediator.

DIN: 20111116-IR-710110716NIA

Composed: Apr 24,2024 10:09:48PM EDT

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