23-20-1-17. Denial of Assistance; Order Not Containing Restitution Award
Sec. 17. The division shall deny an award of restitution assistance under this chapter if a court or administrative order does not contain an award of restitution to the victim. As added by P.L.114-2010, SEC.12.
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.
23-19-6-8. Uniformity Objective; Cooperation With Agencies; Policies
Sec. 8. (a) The commissioner shall, in its discretion, cooperate, coordinate, consult, and, subject to section 7 of this chapter, share records and information with the securities regulator of another state, Canada, a Canadian province or territory, a foreign jurisdiction, the Securities and Exchange Commission, the United States Department of Justice, the Commodity Futures Trading […]
23-19-7-2. “Division”
Sec. 2. As used in this chapter, “division” refers to the securities division of the office of the secretary of state. As added by P.L.85-2012, SEC.6.
23-19-6-9. Appeals From Orders; Transcripts; Trial De Novo
Sec. 9. (a) An appeal may be taken by: (1) any issuer, investment adviser, or registered broker-dealer whose application for registration of an issue of securities may have been granted or denied, from any final order of the commissioner respecting that application or registration; (2) any applicant for registration as a broker-dealer, investment adviser, or […]
23-19-7-3. “Fund”
Sec. 3. As used in this chapter, “fund” refers to the securities restitution fund established by IC 23-20-1-25. As added by P.L.85-2012, SEC.6.