Title 710. Securities Division

Article 1. General Provisions

• Article 1. General Provisions [Details]
• 710 IAC 1-1 Definitions (Repealed)
• 710 IAC 1-2 Form and Requisites of Application For Registration of Securities; Reports to Commissioner; Rulings As to Materiality; Unfair Practices (Repealed)
• 710 IAC 1-3 Secondary Market (Repealed)
• 710 IAC 1-3.5 Nonpublic Offering Exemption (Repealed)
• Rule 710 Iac 1-4. Broker-Dealers and Agents; Requirements and Licensing Procedures
• 710 IAC 1-4.1 Investment Advisor (Repealed)
• 710 IAC 1-5 Rules On Accounting; General Application; Commercial and Industrial Companies (Repealed)
• 710 IAC 1-6 Rules of Practice; Proceedings Before the Division; Hearings Before the Commissioner (Repealed)
• 710 IAC 1-7 Office Hours and Procedures (Repealed)
• 710 IAC 1-8 General Provisions (Repealed)
• 710 IAC 1-9 Securities Registration (Repealed)
• 710 IAC 1-10 Disclosure Requirements (Repealed)
• 710 IAC 1-11 Reporting Requirements (Repealed)
• 710 IAC 1-12 Merit Standards (Repealed)
• 710 IAC 1-13 Exemptions (Repealed)
• 710 IAC 1-14 Broker-Dealers (Repealed)
• 710 IAC 1-15 Agents (Repealed)
• Rule 710 Iac 1-16. Investment Advisers
• 710 IAC 1-17 Standards of Practice (Repealed)
• 710 IAC 1-18 Financial Statements (Repealed)
• 710 IAC 1-19 Division Proceedings (Repealed)
• 710 IAC 1-20 Records and Investigations (Repealed)
• 710 IAC 1-21 Investigation; Rules of Practice (Repealed)
• Rule 710 Iac 1-22. Loan Broker Regulations

Article 2. Supervision of Continuing Care Contracts

• Rule 710 Iac 2-1. Definitions
• Rule 710 Iac 2-2. Applications For Registration
• Rule 710 Iac 2-3. Initial Disclosure Statement
• Rule 710 Iac 2-4. Annual Disclosure Statement
• Rule 710 Iac 2-5. Escrow of Entrance Fees; Letters of Credit
• Rule 710 Iac 2-6. Financial Condition of Provider

Article 3. Business Takeover Offers

• Rule 710 Iac 3-1. General Provisions

Article 4. Uniform Securities

• Rule 710 Iac 4-1. General Provisions
• Rule 710 Iac 4-2. Exemptions
• Rule 710 Iac 4-3. Securities Registration
• Rule 710 Iac 4-4. Disclosure Requirements
• Rule 710 Iac 4-5. Reporting Requirements
• Rule 710 Iac 4-6. Merit Standards
• Rule 710 Iac 4-7. Broker-Dealers
• Rule 710 Iac 4-8. Agents
• Rule 710 Iac 4-9. Investment Advisers
• Rule 710 Iac 4-10. Standards of Practice
• Rule 710 Iac 4-11. Financial Statements
• Rule 710 Iac 4-12. Division Proceedings
• Rule 710 Iac 4-13. Records and Investigations
• Rule 710 Iac 4-14. Investigation; Rules of Practice
• Rule 710 Iac 4-15. Broker-Dealer Compliance Reports