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-IR- Database: Indiana Register

Register Documents associated with
LSA Document number 09-619

(Only documents posted after July 2, 2006 will be found.)
Title 710  Securities Division
      DIN: 20100728-IR-710090619FRA ( HTML - PDF )
      Type: FR  Posted: 07/28/2010   LSA Doc #09-619  Title 710 
Adds 710 IAC 4-15 under IC 23-19, the Indiana Uniform Securities Act, concerning the process in submitting broker-dealer compliance reports filed with the Securities Division. Effective 30 days after...
 
      DIN: 20100628-IR-710090619AFA ( HTML - PDF )
      Type: AF  Posted: 06/28/2010   LSA Doc #09-619  Title 710 
Publisher's receipt for LSA Document #09-619(F)
 
      DIN: 20100428-IR-710090619ARA ( HTML - PDF )
      Type: AR  Posted: 04/28/2010   LSA Doc #09-619  Title 710 
Re: LSA Document #09-619 – Proposed Rule Regarding the Indiana Uniform Securities Act
 
      DIN: 20100428-IR-710090619ARB ( HTML - PDF )
      Type: AR  Posted: 04/28/2010   LSA Doc #09-619  Title 710 
Re: LSA Document #09-619 – Proposed Rule Regarding Broker Dealer Compliance Audits
 
      DIN: 20100331-IR-710090619EIA ( HTML - PDF )
      Type: EI  Posted: 03/31/2010   LSA Doc #09-619  Title 710 
Economic Impact Statement LSA Document #09-619
 
      DIN: 20100331-IR-710090619PHA ( HTML - PDF )
      Type: PH  Posted: 03/31/2010   LSA Doc #09-619  Title 710 
Notice of Public Hearing LSA Document #09-619
 
      DIN: 20100331-IR-710090619PRA ( HTML - PDF )
      Type: PR  Posted: 03/31/2010   LSA Doc #09-619  Title 710 
Adds 710 IAC 4-15, under IC 23-19, the Indiana Uniform Securities Act, concerning the process in submitting broker-dealer compliance reports filed with the Securities Division. Effective 30 days afte...
 
      DIN: 20090812-IR-710090619NIA ( HTML - PDF )
      Type: NI  Posted: 08/12/2009   LSA Doc #09-619  Title 710 
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...