23-20-1-13. Division’s Review of Applications; Request for Additional Information
Sec. 13. (a) The division shall review all applications to ensure that the applications are complete. (b) If an application is not complete, the application shall be returned to the claimant with a brief statement of the additional information required. (c) The claimant may, not more than thirty (30) days after receipt of the request […]
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.
23-20-1-1. “Claimant”
Sec. 1. (a) As used in this chapter, “claimant” means a victim filing an application for restitution assistance under this chapter. (b) The term includes: (1) a named party in an award; (2) the executor of a named party in an award; or (3) the heirs and assigns of a named party in an award. […]
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 […]
23-19-6-7. Public Records; Inspection and Copying; Confidential Records
Sec. 7. (a) Except as otherwise provided in subsection (b), records obtained by the commissioner or filed under this article, including a record contained in or filed with a registration statement, application, notice filing, or report, are public records and are available for inspection and copying. (b) The following records are confidential and are not […]
23-19-7-1. “Commissioner”
Sec. 1. As used in this chapter, “commissioner” refers to the securities commissioner appointed by the secretary of state under IC 23-19-6-1(a). As added by P.L.85-2012, SEC.6.