Statutes, codes, and regulations
Indiana Administrative Code
Title 710 - SECURITIES DIVISIONArticle 4 - UNIFORM SECURITIES
Rule 710 IAC 4-9 - Investment Advisers
Section 710 IAC 4-9-11 - Certain transactions not deemed assignments

710 Ind. Admin. Code 4-9-11

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Current through December 4, 2024
Section 710 IAC 4-9-11 - Certain transactions not deemed assignments

Authority: IC 23-19-6-5

Affected: IC 23-19-5-2

Sec. 11.

A transaction that does not result in a change of actual control or management of an investment adviser is not an assignment for purposes of section 18 of this rule.

710 IAC 4-9-11

Securities Division; 710 IAC 4-9-11; 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