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.
23-19-6-10. Jurisdiction
Sec. 10. (a) IC 23-19-3-1, IC 23-19-3-2, IC 23-19-4-1(a), IC 23-19-4-2(a), IC 23-19-4-3(a), IC 23-19-4-4(a), IC 23-19-5-1, IC 23-19-5-6, IC 23-19-5-9, and IC 23-19-5-10 do not apply to a person that sells or offers to sell a security unless the offer to sell or the sale is made in Indiana or the offer to purchase […]
23-19-7-4. “Informant”
Sec. 4. (a) As used in this chapter, “informant” means an individual who provides original information concerning a violation of this article to the division. (b) The term does not include an individual who is: (1) a journalist, a reporter, or any other member of the news media if the individual discovers or acquires the […]
23-19-6-11. Consent to Service of Process; Conduct Constituting Agent for Service of Process; Procedures; Continuances
Sec. 11. (a) An irrevocable consent to service of process required by this article must be signed and filed in the form required by a rule or order under this article. A consent appointing the secretary of state as the person’s agent for service of process in an action or proceeding against the person, or […]
23-19-7-5. “Monetary Sanction”
Sec. 5. As used in this chapter, “monetary sanction” refers to money required to be paid under this article as the result of a judicial or an administrative action, including any penalties imposed or amounts ordered through an order of disgorgement. However, the term does not include any amounts ordered or identified as restitution. As […]
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 Repealed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 Repealed by P.L.85-2012, SEC.5.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 […]