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Indiana Securities Division

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 Reimbursement of Financial Institutions for Providing Financial Records
Statement
1/23/14
xxx
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 Superseded 1/23/14 by Statement of Policy Regarding Reimbursement of Financial Institutions for Providing Financial Records
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