710 IAC 4-4-3 - Changes in circumstances

Authority: IC 23-19-6-5

Affected: IC 23-19-3-5

Sec. 3.

If at any time during the effective period or registration any statement contained in the registration statement becomes materially inaccurate or misleading as of that time, the applicant shall within five (5) days thereafter file with the commissioner a sworn statement of the changes in the circumstances and the amendments necessary to render the registration statement complete and not misleading. The statement shall become a part of the application. Within five (5) days thereafter, the commissioner shall rule as to the necessity for inclusion of the changes in the prospectus under section 4 of this rule. The inclusion, if ruled necessary, upon approval by the commissioner may be by addendum to the prospectus then in use, provided it is conspicuously affixed to the appropriate portion of the prospectus.

Notes

710 IAC 4-4-3
Securities Division; 710 IAC 4-4-3; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA

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