710 Ind. Admin. Code 4-8-3

Current through October 31, 2024

Section 710 IAC 4-8-3 - Notice of changes in circumstances

Authority: IC 23-19-6-5

Affected: IC 23-19-4-6

Sec. 3.

(a) Every agent or applicant shall immediately notify the division in writing of any material changes in any:

(1) information;

(2) exhibits; or

(3) schedules;

disclosed in his or her application. A correction amendment shall be filed at the time of the occurrence or discovery of the change.

(b) Material changes include, but are not limited to, the following:

(1) Change of address.

(2) Termination of agency with the broker-dealer or issuer with whom licensed.

(3) The filing of a criminal charge or civil action against the applicant in which a:

(A) fraudulent;

(B) dishonest; or

(C) unethical;

act is alleged, a violation of IC 23-19 is alleged, or a violation of IC 23-19 is involved.

(4) The agent or applicant is the subject of:

(A) an order;

(B) a proceeding; or

(C) an institution of a proceeding;

by or in any court or administrative agency, involving any aspect of the securities business, any felony, or a U.S. Post Office fraud order.

710 IAC 4-8-3

Securities Division; 710 IAC 4-8-3; 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