Secretary of State - Securities Division

Policy Statements Index

Title/Subject Matter	Order #	Date	Miscellaneous/Notes
Extension of Emergency Statement of Policy Affecting Displaced Persons Due to Hurricane Katrina		12/22/05	xxx
Statement of Policy Regarding Electronic Filing of Securities Registered by Coordination		12/08/05	xxx
Statement of Policy Regarding Electronic Delivery of Francise Disclosure Documents		10/25/05	xxx
Emergency Statement of Policy Affecting Displaced Persons Due to Hurricane Katrina		9/22/05	xxx
Chicago Board Options Exchange, Inc. - Order of Commissioner	76-0570 AO	10/4/76	xxx
In the Matter of: Recission Offer	90-0019 AO	3/1/90	xxx
Notice of Sales	xxx	xxx	Repealed and Superseded by Order - Notice of Sale pursuant to IC 23-2-1-2(b)(10)(H) and 710 IAC 1-13-6
In the Matter of: Approved broker-dealer and agent examinations	xxx	xxx	Order vacated effective 1/20/95
In the Matter of: the manual exemption (IC 23-2-1-2(b)(3)(C)(I)	90-0092 MO	6/29/90	xxx
In the Matter of: Chicago Board Optioins Exchange, Inc.	91-0090 AO	5/16/91	xxx
Approved broker-dealer and agent examinations	95-0004 AO	1/2095	AMENDED Order No. 95-0051 AO, 8/8/95
In the Matter of Philadelphia Stock Exchange, Inc.	95-0014 AO	2/22/95	xxx
Registrations by Qualifications	95-0034 AO	6/15/95	xxx
Securities offered on the Internet, but not sold in Indiana	95-0115 AO	11/15/95	xxx
Notice of Sale pursuant to IC 23-2-1-2(b)(10)(H) and 710 IAC 1-13-6	96-0051 AO	4/16/96	xxx
Securities issued in connection with Rule 506 offerings	96-0299 AO	11/22/96	xxx
Rule Amending 710 IAC 1-8-1 to Adopt a New Definition of Branch Office	97-0003 AO	3/10/97	xxx
Regarding Distribution of Escrow Account to Eligible Investors/First Investors/Indiana Securities Division Escrow Account	97-0122 AO	6/11/97	xxx
Regarding Broker-Dealer and Investment Adviser Activity on the Internet	97-0091 AO	6/18/97	xxx
Form NF	97-0175 AO	7/29/97	xxx
Regarding Activity of Canadian Broker-Dealers	97-0167 AO	8/21/97	xxx
Regarding Federal Covered Advisers	97-0223 AO	9/17/97	xxx
Regarding Franchises Offered on the Internet	97-0378 AO	12/24/97	xxx
Regarding Indiana Model Accredited Investor Exemption	98-0062 AO	02/27/98	xxx

Policy Statements Index

Title/Subject Matter	Form of Policy Statement	Date	Miscellaneous/Notes
Policy on limited partnership voting rights	Statement	xxx	Repealed effective 4/23/97
Implementation of CRD in Indiana	Special notice to all NASD members firms	9/1/81	xxx
Merit Review of securities offerings in Indiana	xxx	xxx	Repealed and Superseded 4/23/96 by Statement of Policy regarding merit review of securities offerings
Restricted agent examination and application procedures	Memorandum	3/26/87	xxx
Open-end investment company guidelines	xxx	xxx	Repealed effective 2/22/95
Financial planners and others as investment advisers	Memorandum	3/7/88	xxx
Waiver of examination for certain agents of church bond issuers	Memorandum	3/26/87	xxx
Notice of effective registrations	Memorandum	5/29/87	xxx
Policy on legends	Memorandum	2/18/88	xxx
Policy on suitability standards	xxx	xxx	Repealed and Superseded 4/23/96 by Statement of policy regarding merit review of securities offerings
Policy on Private Placement	xxx	xxx	Repealed and Superseded 4/23/96 by Statement of policy regarding exemptioins calimed pursuant to IC 23-2-1-2 and 710 IAC 1-13-6
Policy on independent contractors	Statement	11/25/91	xxx
Policy on Omnibus Guidelines	Statement	2/5/93	xxx
Policy on investment contracts	Statement	9/20/93	xxx
Policy on classification of limited liability company interests as securities	Statement	9/20/93	xxx
Policy on advertising of securities issued by churches and church extension funds	xxx	xxx	Repealed effective 4/23/96
Policy regarding merit review of securities offerings	Statement	4/23/96	xxx
Policy regarding exemptions claimed pursuant to IC 23-2-1-2 and 710 IAC 1-13-6	Statement	4/23/96	xxx
Policy regarding the merger of mutual funds	Statement	4/23/96	xxx

accessIndiana

News

Policy Statements Index