710 IAC 4-15-1 - Qualifications of approved auditors

Authority: IC 23-19-4-11

Affected: IC 23-19-4-11

Sec. 1.

(a) Persons wishing to apply as an approved examiner to submit compliance reports under IC 23-19-4-11(i) must have an appropriate background, such as:
(1) a designation as a certified public accountant;
(2) employment as a public accountant;
(3) a current license to practice law in Indiana; or
(4) previous experience in securities or auditing professions acceptable to the commissioner.
(b) The applicant must not be currently registered or employed by a broker-dealer, regardless of whether that broker-dealer is registered in Indiana.
(c) The applicant must complete an application on a form acceptable to the commissioner and provide all requested information.


710 IAC 4-15-1
Securities Division; 710 IAC 4-15-1; filed Jun 28, 2010, 2:42 p.m.: 20100728-IR-710090619FRA Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.

No prior version found.