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Indiana General Assembly
Senate Bill 0011


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Senate Bill 0011

ARCHIVE (2006)

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DIGEST OF SB11 (Updated March 6, 2006 3:03 pm - DI 84)

Various securities matters. Makes various amendments to the law concerning securities regulation. Provides that transactions exempt from certain security registration requirements include the offer or sale of securities involving certain mergers or share exchanges that occur within or outside the United States. (Current law exempts the offer or sale of securities involving certain mergers or share exchanges that occur within the United States.) Changes the method of selection of home and branch offices of registered broker-dealers for completion of compliance reports. Provides that: (1) the chief deputy commissioner and each designated attorney or investigator are police officers of the state and members of the enforcement department of the securities division; and (2) certain violations may be brought in the county where the violation allegedly occurred or Marion County. Requires the securities commissioner to send a certified copy of a final order suspending or revoking a person's license or an order to cease and desist to the insurance commissioner who may institute proceedings to revoke or suspend the person's insurance producer license. Changes the: (1) time a franchisor must renew a registration from 30 days before expiration of the registration to not later than the date the registration expires; and (2) time an employer who has an employee conducting origination activities must register from 15 days to five days after the employee first conducts origination activities. Provides that: (1) the securities commissioner may provide certain interpretive opinions or issue determinations under the law concerning loan brokers; and (2) certain individuals under the law concerning loan brokers may request an appeal from a denial of an application or a final order by the securities commissioner. Requires that a person who does not comply with an order of the court or judge under the law concerning loan brokers be punished for contempt of court.
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