Indiana § 23-19-4.1-8 Immunity for broker-dealers, investment advisers, and qualified
individuals; authority of commissioner to access books and records not
impeded

Indiana Statutes

§ 23-19-4.1-8 — Immunity for broker-dealers, investment advisers, and qualified individuals; authority of commissioner to access books and records not impeded

Indiana § 23-19-4.1-8

Title 23BUSINESS AND OTHER ASSOCIATIONS

Art. 19INDIANA UNIFORM SECURITIES ACT

Ch. 4.1Financially Vulnerable Adult

This text of Indiana § 23-19-4.1-8 (Immunity for broker-dealers, investment advisers, and qualified individuals; authority of commissioner to access books and records not impeded) is published on Counsel Stack Legal Research, covering Indiana primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook

Ind. Code § 23-19-4.1-8 (2026).

Text

Notwithstanding any other provision of law,
a broker-dealer, investment adviser, or a qualified individual who, in
good faith, complies with section 6 or 7 of this chapter, is immune from
any administrative or civil liability for actions taken in accordance with
those sections. A broker-dealer, investment adviser, or qualified
individual who, in good faith, releases or does not release copies of
records under section 9 of this chapter is immune from any civil
liability for release of such records or failing to release such records.
This chapter does not limit or otherwise impede the authority of the
commissioner to access or examine books and records of
broker-dealers or investment advisers as otherwise provided by law.

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Notwithstanding any other provision of law,
a broker-dealer, investment adviser, or a qualified individual who, in
good faith, complies with section 6 or 7 of this chapter, is immune from
any administrative or civil liability for actions taken in accordance with
those sections. A broker-dealer, investment adviser, or qualified
individual who, in good faith, releases or does not release copies of
records under section 9 of this chapter is immune from any civil
liability for release of such records or failing to release such records.
This chapter does not limit or otherwise impede the authority of the
commissioner to access or examine books and records of
broker-dealers or investment advisers as otherwise provided by law.