Secretary of State : Securities Division: Administrative Orders

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Securities Division > Laws, Regulations & Policies > Administrative Orders Administrative Orders

Policy Statements Index

Subject	Order #	Date	Miscellaneous/Notes
Updated Private Adviser/Venture Capital Funds and Investment Adviser Registration	12-0012AO	01/09/12
Licensing Requirements for Principal Managers under the Indiana Loan Broker Act	11-0397AO	12/9/11
Performance Management Fees for Investment Advisers to Certain Private Companies	11-0266AO	8/29/11
Filing of ADV Part 2 for Investment Advisers	10-0478AO	11/16/10
Adoption of Official Comments Under the Indiana Uniform Securities Act	10-0294AO	9/17/10
Licensing Updates under the NMLS	08-0943AO	10/30/08
Notice Filing of Federal Covered Securities	08-0079AO	07/01/08
Registration of Loan Brokers Currently Exempt	08-0058AO	05/01/08
Toronto Stock Exchange	08-0012AO	01/17/08
Notice filing of Exempt Loan Brokers	07-0125AO	10/01/07
Electronic Filing of Franchise Disclosure Documents	07-0052AO	06/08/07
Loan Broker Education Course Fee Schedule	07-0054AO	06/08/07
Designation of Enforcement Department	06-0072AO	07/07/06	xxx
Franchise Waiver	06-0024 AO	3/10/2006	xxx
Supervision of Broker Dealer Branch Offices	05-0105 AO	9/8/2005	xxx
Definitions and Standards for Loan Brokers	05-0103 AO	9/2/2005	xxx
Franchise Registrations by Notification	01-0109 AO	6/4/2001	xxx
Manual Exemption	01-0076 AO	3/23/2001	Repeals Order of Approval # 90-0092 MO
Recission Offers	01-0063 AO	3/8/2001	xxx
Sales of Securities by Investment Companies to Existing Shareholders	01-0051 AO	2/22/2001	Repeals Interpretive Opinion #83-0403 RR
Investment Advisor Representative Examinations	99-0307 AO	11/19/1999	xxx
Examinations for Investment Advisors and Investment Advisor Representatives	99-0256 AO	9/16/1999	Amends 710 IAC 1-16-13
Filing Requirements Under the Indiana Uniform Limited Offering Exemption	98-0145 AO	5/11/1998	xxx
Rules & Procedures to be Applied to Motions for Summary Judgment	98-0063 AO	2/23/1998	xxx
Indiana Model Accredited Investor Exemption	98-0062 AO	2/27/1998	xxx
Investigations and Examinations	97-0381 AO	12/31/1997	xxx
Franchises Offered on the Internet	97-0378 AO	12/24/1997	xxx
Federal Covered Advisers	97-0223 AO	9/17/1997	xxx
Form NF	97-0175 AO	7/29/1997	xxx
Activity of Canadian Broker-Dealers	97-0167 AO	8/21/1997	xxx
Distribution of Escrow Account to Eligible Investors/First Investors/Indiana Securities Division Escrow Account	97-0122 AO	6/11/1997	xxx
Broker-Dealer and Investment Adviser Activity on the Internet	97-0091 AO	6/18/1997	xxx
New Definition of Branch Office	97-0003 AO	3/10/1997	xxx
Securities Issued in Connection with Rule 506 offerings	96-0299 AO	11/22/1996	xxx
Franchise Isolated Sale Exemption	96-0133 AO	11/19/1996	xxx
Test-the-Waters: Exemption From the Registration of Securities for Solicitations of Interest Prior to the Filing of a Securities Registration	96-0076 AO	4/16/1996	xxx
Notice of Sale	96-0051 AO	4/16/1996	xxx
Securities Offered on the Internet, But Not Sold in Indiana	95-0115 AO	11/15/1995	xxx
Uniform Limited Offering Exemptions	95-0075 AO	10/17/1995	xxx
Approved Broker-Dealer and Agent Examinations	95-0051 AO	8/8/95	xxx
Registrations by Qualifications	95-0034 AO	6/15/1995	xxx
Philadelphia Stock Exchange, Inc.	95-0014 AO	2/22/1995	xxx
Approved Broker-Dealer and Agent Examinations	95-0004 AO	1/20/95	AMENDED by Order No. 95-0051 AO, 8/8/95
Taxing Costs of Investigations	91-0156 MO	8/15/91	xxx
Chicago Board Options Exchange, Inc.	91-0090 AO	5/16/1991	xxx
Indiana Business Take-Over Offers	90-0090 AO	6/28/1990	xxx
Amendments to Rules of the Indiana Securities Division	85-0009 AO	1/25/1985	xxx
Chicago Board Options Exchange, Inc.	76-0570 AO	10/4/1976	xxx

Policy Statements Index

Title/Subject Matter	Form of Policy Statement	Date	Miscellaneous/Notes
Statement of Policy Regarding Investment Advisers with Custody of Client Funds	Statement	06/04/13	xxx
Statement of Policy Regarding Investment Adviser Form ADV Part 2	Statement	10/7/10	xxx
Statement of Policy Regarding Clarification of Reimbursement under the Securities Restitution Fund	Statement	07/01/10	xxx
Statement of Policy Regarding Effective Date of the Securities Restitution Fund	Statement	06/28/10	xxx
Recent Changes to the Indiana Continuing Care Act	Statement	11/13/09	xxx
Private Equity/Venture Capital Funds and Investment Adviser Registration	Statement	07/10/08	xxx
Mortgage Brokers and Subprime Lending	Statement	08/17/2007	xxx
Reimbursement to Financial Institutions for Providing Financial Records	Statement	02/06/2007	xxx
Investment Advisor Disclosure	Statement	3/24/2006	xxx
Interpretive Opinion Requests	Statement	3/23/2006	xxx
Electronic Filing of Securities Registered by Coordination	Statement	1/23/2006	xxx
Extension of Emergency Statement of Policy Affecting Displaced Persons Doe to Hurricane Katrina	Statement	3/24/2006	xxx
Electronic Delivery of Franchise Disclosure Documents	Statement	3/24/2006	xxx
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

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