Sec. 6. (a) The
commissioner shall maintain, or designate a
person to maintain, a register of applications for registration of securities; registration statements; notice filings; applications for registration of broker-dealers, agents, investment advisers, and
investment adviser representatives; notice filings by federal covered investment advisers that are or have been effective under this article or the
predecessor act; notices of claims of exemption from registration or notice
filing requirements contained in a record; orders issued under this article or the predecessor act; and interpretive opinions or no-action determinations issued under this article.
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Terms Used In Indiana Code 23-19-6-6
- Commissioner: means the securities commissioner appointed under IC 23-19-6-1(a). See Indiana Code 23-19-1-2
- Evidence: Information presented in testimony or in documents that is used to persuade the fact finder (judge or jury) to decide the case for one side or the other.
- Filing: means the receipt under this article of a record by the commissioner or a designee of the commissioner. See Indiana Code 23-19-1-2
- Investment adviser: means a person that, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or the advisability of investing in, purchasing, or selling securities or that, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. See Indiana Code 23-19-1-2
- Person: means an individual; corporation; business trust; estate; trust; partnership; limited liability company; association; joint venture; government; governmental subdivision, agency, or instrumentality; public corporation; or any other legal or commercial entity. See Indiana Code 23-19-1-2
- Predecessor act: means IC 23-2-1 (before its repeal). See Indiana Code 23-19-1-2
- public record: means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form. See Indiana Code 23-19-1-2
(c) The commissioner shall furnish a copy of a record that is a public record, or a certification that the public record does not exist, to a person that so requests. A rule adopted under this article may establish a reasonable charge for furnishing the record or certification. A copy of the record certified or a certificate by the commissioner of a record’s nonexistence is prima facie evidence of a record or its nonexistence.
As added by P.L.27-2007, SEC.23. Amended by P.L.152-2020, SEC.9.
