Article 4 - UNIFORM SECURITIES
- Rule 710 IAC 4-1 - General Provisions (§ 710 IAC 4-1-1 to 710 IAC 4-1-3)
- Rule 710 IAC 4-2 - Exemptions (§ 710 IAC 4-2-1 to 710 IAC 4-2-6)
- Rule 710 IAC 4-3 - Securities Registration (§ 710 IAC 4-3-1 to 710 IAC 4-3-3)
- Rule 710 IAC 4-4 - Disclosure Requirements (§ 710 IAC 4-4-1 to 710 IAC 4-4-4)
- Rule 710 IAC 4-5 - Reporting Requirements (§ 710 IAC 4-5-1 to 710 IAC 4-5-6)
- Rule 710 IAC 4-6 - Merit Standards (§ 710 IAC 4-6-1 to 710 IAC 4-6-8)
- Rule 710 IAC 4-7 - Broker-Dealers (§ 710 IAC 4-7-1 to 710 IAC 4-7-8)
- Rule 710 IAC 4-8 - Agents (§ 710 IAC 4-8-1 to 710 IAC 4-8-4)
- Rule 710 IAC 4-9 - Investment Advisers (§ 710 IAC 4-9-1 to 710 IAC 4-9-18)
- Rule 710 IAC 4-10 - Standards of Practice (§ 710 IAC 4-10-1 to 710 IAC 4-10-2)
- Rule 710 IAC 4-11 - Financial Statements (§ 710 IAC 4-11-1 to 710 IAC 4-11-4)
- Rule 710 IAC 4-12 - Division Proceedings (§ 710 IAC 4-12-1 to 710 IAC 4-12-13)
- Rule 710 IAC 4-13 - Records and Investigations (§ 710 IAC 4-13-1 to 710 IAC 4-13-2)
- Rule 710 IAC 4-14 - Investigation; Rules of Practice (§ 710 IAC 4-14-1 to 710 IAC 4-14-14)
- Rule 710 IAC 4-15 - Broker-Dealer Compliance Reports (§ 710 IAC 4-15-1 to 710 IAC 4-15-3)
The following state regulations pages link to this page.
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.
- Rule 1 - General Provisions (710 IAC 4-1-1 to 710 IAC 4-1-3)
- Rule 2 - Exemptions (710 IAC 4-2-1 to 710 IAC 4-2-6)
- Rule 3 - Securities Registration (710 IAC 4-3-1 to 710 IAC 4-3-3)
- Rule 4 - Disclosure Requirements (710 IAC 4-4-1 to 710 IAC 4-4-4)
- Rule 5 - Reporting Requirements (710 IAC 4-5-1 to 710 IAC 4-5-6)
- Rule 6 - Merit Standards (710 IAC 4-6-1 to 710 IAC 4-6-8)
- Rule 7 - Broker-Dealers (710 IAC 4-7-1 to 710 IAC 4-7-8)
- Rule 8 - Agents (710 IAC 4-8-1 to 710 IAC 4-8-4)
- Rule 9 - Investment Advisers (710 IAC 4-9-1 to 710 IAC 4-9-18)
- Rule 10 - Standards of Practice (710 IAC 4-10-1 and 710 IAC 4-10-2)
- Rule 11 - Financial Statements (710 IAC 4-11-1 to 710 IAC 4-11-4)
- Rule 12 - Division Proceedings (710 IAC 4-12-1 to 710 IAC 4-12-13)
- Rule 13 - Records and Investigations (710 IAC 4-13-1 and 710 IAC 4-13-2)
- Rule 14 - Investigation; Rules of Practice (710 IAC 4-14-1 to 710 IAC 4-14-14)
- Rule 15 - Broker-Dealer Compliance Reports (710 IAC 4-15-1 to 710 IAC 4-15-3)