Article 1 - GENERAL PROVISIONS

  1. Rule 710 IAC 1-1 - Definitions (Repealed)
  2. Rule 710 IAC 1-2 - Form and Requisites of Application for Registration of Securities; Reports to Commissioner; Rulings as to Materiality; Unfair Practices (Repealed)
  3. Rule 710 IAC 1-3 - Secondary Market (Repealed)
  4. Rule 710 IAC 1-3.5 - Nonpublic Offering Exemption (Repealed)
  5. Rule 710 IAC 1-4 - Broker-Dealers and Agents; Requirements and Licensing Procedures (§ 710 IAC 1-4-1 to 710 IAC 1-4-17)
  6. Rule 710 IAC 1-4.1 - Investment Advisor (Repealed)
  7. Rule 710 IAC 1-5 - Rules on Accounting; General Application; Commercial and Industrial Companies (Repealed)
  8. Rule 710 IAC 1-6 - Rules of Practice; Proceedings Before the Division; Hearings Before the Commissioner (Repealed)
  9. Rule 710 IAC 1-7 - Office Hours and Procedures (Repealed)
  10. Rule 710 IAC 1-8 - General Provisions (Repealed)
  11. Rule 710 IAC 1-9 - Securities Registration (Repealed)
  12. Rule 710 IAC 1-10 - Disclosure Requirements (Repealed)
  13. Rule 710 IAC 1-11 - Reporting Requirements (Repealed)
  14. Rule 710 IAC 1-12 - Merit Standards (Repealed)
  15. Rule 710 IAC 1-13 - Exemptions (Repealed)
  16. Rule 710 IAC 1-14 - Broker-Dealers (Repealed)
  17. Rule 710 IAC 1-15 - Agents (Repealed)
  18. Rule 710 IAC 1-16 - Investment Advisers (§ 710 IAC 1-16-1 to 710 IAC 1-16-24)
  19. Rule 710 IAC 1-17 - Standards of Practice (Repealed)
  20. Rule 710 IAC 1-18 - Financial Statements (Repealed)
  21. Rule 710 IAC 1-19 - Division Proceedings (Repealed)
  22. Rule 710 IAC 1-20 - Records and Investigations (Repealed)
  23. Rule 710 IAC 1-21 - Investigation; Rules of Practice (Repealed)
  24. Rule 710 IAC 1-22 - Loan Broker Regulations (§ 710 IAC 1-22-1 to 710 IAC 1-22-9)

Current through March 30, 2022

Notes

IC 23-2-1 was repealed by P.L. 27-2007, SECTION 37, effective July 1, 2008.

The following state regulations pages link to this page.



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