General Assembly Home Page
Session Information
Complete Bill Listing
 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:
>Latest Printing > (PDF)
|