23-19-6-12. Repealed
As added by P.L.114-2010, SEC.11. Repealed by P.L.85-2012, SEC.5.
23-19-7-6. “Original Information”
Sec. 6. As used in this chapter, “original information” means information that: (1) is provided to the division by an informant; (2) is derived from the independent knowledge or analysis of the informant; (3) is not known to or derived by the informant exclusively from: (A) an allegation made in a judicial or an administrative […]
23-19-7-7. Award to Informant for Original Information Leading to Successful Enforcement Action; Commissioner to Determine Amount; Award to Be Paid From Fund; Limit on Aggregate Amount of Awards
Sec. 7. (a) Except as provided in section 9 of this chapter, and subject to subsection (b) and section 8 of this chapter, if: (1) an informant: (A) voluntarily provides in writing, and in the form or manner required by the commissioner, original information to the division; and (B) includes, as part of the writing […]
23-19-7-8. Considerations in Determining Amount of Award
Sec. 8. In determining the amount of an award to be paid under this chapter, the commissioner shall consider: (1) the significance of the original information provided by the informant to the successful enforcement of the judicial or administrative action under this article; (2) the degree of assistance or cooperation provided by the informant in […]
23-19-7-9. Circumstances When Award Prohibited
Sec. 9. The commissioner may not provide an award to an informant under this chapter if the informant: (1) is convicted of a crime in connection with the judicial or administrative proceeding for which the informant provided the original information; (2) acquired the original information in performing an examination of financial statements required under securities […]
23-19-7-10. Right or Obligation to Present Evidence to Grand Jury or Share Evidence in Criminal Investigation Unaffected
Sec. 10. This chapter does not limit or negate any right or obligation of any individual to present evidence to a grand jury or to share evidence with potential witnesses or defendants in the course of an ongoing criminal investigation. As added by P.L.85-2012, SEC.6.
23-19-6-4. Violations; Investigations; Cease and Desist Orders and Other Orders; Hearings; Civil Penalties; Appeals; Civil Contempt; Certified Copy of Order
Sec. 4. (a) If the commissioner determines that a person has engaged, is engaging, or is about to engage in an act, practice, or course of business constituting a violation of this article or a rule adopted or order issued under this article or that a person has materially aided, is materially aiding, or is […]
23-19-6-5. Rules, Forms, and Orders; Financial Statements; Interpretive Opinions and Determinations; Good Faith Conduct; Public Hearings
Sec. 5. (a) The commissioner may: (1) issue forms and orders and, after notice and comment, may adopt and amend rules necessary or appropriate to carry out this article and may repeal rules, including rules and forms governing registration statements, applications, notice filings, reports, and other records; (2) by rule, define terms, whether or not […]
23-19-6-6. Register of Filings; Availability to Public; Reasonable Charge for Furnishing Copy
Sec. 6. (a) The commissioner shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice filings; applications for registration of broker-dealers, agents, investment advisers, and investment adviser representatives; notice filings by federal covered investment advisers that are or have been effective under this article or the […]
23-19-4.1-6. Suspected Financial Exploitation of Financially Vulnerable Adult; Duty of Qualified Individual to Report and Notify Commissioner; Authorized Additional Notifications
Sec. 6. (a) If a qualified individual has reason to believe that financial exploitation of a financially vulnerable adult has occurred, has been attempted, or is being attempted, the qualified individual shall, as required by IC 12-10-3-9(a): (1) make a report to an entity listed in IC 12-10-3-10(a); and (2) notify the commissioner. (b) After […]