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Senate Bill 0352


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
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