710 Ind. Admin. Code 4-13-2

Current through September 4, 2024

Section 710 IAC 4-13-2 - Complaints where division not moving party

Authority: IC 23-19-6-5

Affected: IC 23-19-6

Sec. 2.

(a) Any person may submit to the division a complaint concerning the activities of an issuer, broker-dealer, or agent.

(b) Complaints shall be made in writing and shall be signed and verified by the person making the complaint. The complaint should include a succinct, definite statement of the facts on which it is based, including the:

(1) names and addresses of the persons involved;

(2) dates of the events complained of; and

(3) nature of the interest of the person making the complaint.

(c) The person making a complaint should:

(1) be prepared to support the facts alleged by sufficient evidence; and

(2) retain and make the evidence available to the division on its request.

(d) The staff of the division is available for personal conferences with persons wishing to file a complaint and to assist in the preparation of complaints.

710 IAC 4-13-2

Securities Division; 710 IAC 4-13-2; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA

Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA

Readopted filed 11/30/2022, 4:01 p.m.: 20221228-IR-710220301RFA