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Recent regulatory changes mentioning . View Complete List


IC 25-34.1-4-6 Death of sole proprietor or partner; carrying out business contracted before death; brokers associated with broker company

Published : 2022-06-29


IC 25-34.1-4-5 Trust accounts

Published : 2022-06-29


IC 25-34.1-4-3.1 Individuals who became managing brokers on July 1, 2014

Published : 2022-06-29


IC 25-34.1-4-1 Responsibilities of broker company

Published : 2022-06-29


IC 25-34.1-3-4.5 Broker compensation

Published : 2022-06-29


IC 6-6-6.5-10.2 Dealer's certificate; renewal; revocation

Published : 2022-06-29


Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-19 Regarding Regulation Best Interest for Certain Municipal Securities Activities of Bank Dealers and MSRB Rule G-48 Regarding Quantitative Suitability for Institutional Sophisticated Municipal Market Professionals

Published : 2022-06-29


IC 9-32-16-5 Dealers to provide staff of division access to dealer's premises and records

Published : 2022-06-28


IC 23-19-4.1-8 Immunity for broker-dealers, investment advisers, and qualified individuals; authority of commissioner to access books and records not impeded

Published : 2022-06-28


IC 23-19-4-11.5 Prohibit selection of broker-dealer for completion of compliance report in consecutive years; prohibit selection of certain offices

Published : 2022-06-28


IC 23-19-4-11 Minimum financial requirements; financial reports; amendment; records; audits or inspections; insurance or posting bond; supervision; continuing education; compliance reports

Published : 2022-06-28


IC 23-19-4-7 Succession; organization change; name change; change of control

Published : 2022-06-28


IC 23-19-4-2 Agent registration; exemptions; restrictions on employment or association; restrictions if no affiliation

Published : 2022-06-28


IC 23-19-4-1 Broker-dealer registration; exemptions; restrictions on employment or association; foreign transactions

Published : 2022-06-28


Chapter 4. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

Published : 2022-06-28


IC 23-19-1-2 Definitions

Published : 2022-06-28


IC 34-30-2-96.1 Acts by broker-dealers, investment advisers, and qualified individuals regarding financially vulnerable adults; information provided by certain required records

Published : 2022-06-28


IC 23-2-6-5 "Commodity broker-dealer" defined

Published : 2022-06-28


67-2-109. Brokers - Liability for return and tax.

Published : 2022-06-22


62-13-310. Affiliate broker relationship to broker.

Published : 2022-06-22


49:3-56 Registration required.

Published : 2022-06-21


High Risk, No Reward: SEC's First Reg BI Enforcement Action

Published : 2022-06-21


Sec. 45.56.900. Definitions.

Published : 2022-06-16


Sec. 45.56.420. Post registration requirements.

Published : 2022-06-16


Sec. 45.56.400. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

Published : 2022-06-16


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