IN.gov - Skip Navigation

Note: This message is displayed if (1) your browser is not standards-compliant or (2) you have you disabled CSS. Read our Policies for more information.

Indiana General Assembly
  •  
Senate Bill 0352


 

Search all legislative material from the 2001 Session.
General Assembly Home Page

Session Information

Complete Bill Listing

Get Acrobat Reader
You will need to download and install Acrobat Reader to view PDF documents.

  

Senate Bill 0352

ARCHIVE (2001)

Latest Information

 
DIGEST OF SB352 (Updated April 12, 2001 11:54 AM - DI 84)

Securities licenses. Allows the Indiana securities commissioner to select up to 25% of all Indiana home and branch offices of registered broker-dealers for completion of compliance reports instead of requiring at least 25% all Indiana home and branch offices of registered broker-dealers for completion of compliance reports. Eliminates certain restrictions on the securities commissioner regarding the revocation or suspension of a license as a result of an order by federal agency or another state. Adds to the list of reasons for which the securities commissioner may deny, suspend, or revoke a registration, censure a registrant or an officer, a director, a partner, or a person performing similar functions for a registrant, or other persons who offered or sold securities in Indiana, or bar a registrant or an officer, a director, a partner, or a person performing similar functions for a registrant or other persons who offered or sold securities in Indiana from employment with a registered broker-dealer or an investment adviser.
    Current Status:
     Law Enacted
    >Latest Printing > (PDF)