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House Bill 1526

Enrolled House Bill (H)

DIGEST

Securities matters. Decreases the frequency of meetings of the mortgage lending and fraud prevention task force. Exempts certain offers to sell or sales of the securities of issuers made after June 30, 2017, from provisions in the Indiana Uniform Securities Act (Act) concerning the registration of securities and the filing of specified sales and advertising literature with the securities commissioner. Changes the fee structure under the Act with respect to federal covered securities. Makes other changes in the law concerning the registration of securities and notice filings for federal covered securities. For purposes of the securities law concerning financially endangered Securities matters. Decreases the frequency of meetings of the mortgage lending and fraud prevention task force. Exempts certain offers to sell or sales of the securities of issuers made after June 30, 2017, from provisions in the Indiana Uniform Securities Act (Act) concerning the registration of securities and the filing of specified sales and advertising literature with the securities commissioner. Changes the fee structure under the Act with respect to federal covered securities. Makes other changes in the law concerning the registration of securities and notice filings for federal covered securities. For purposes of the securities law concerning financially endangered adults: (1) changes the term "financially endangered adult" to "financially vulnerable adult"; and (2) provides that an individual associated with an investment adviser (in addition to an individual associated with a broker-dealer) is a "qualified individual" required to report the suspected financial exploitation of a financially vulnerable adult. Adds violations of: (1) the Act; (2) the statute regulating loan brokers; and (3) the Indiana Commodity Code; to the Indiana Code section specifying the statute of limitations for prosecutions of offenses under the statute concerning cemetery perpetual care funds. ... View more