§ 23-19-5-4 — Sales and advertising literature filing

Indiana § 23-19-5-4

• Jurisdiction: Indiana
• Title 23: BUSINESS AND OTHER ASSOCIATIONS
• Art. 19: INDIANA UNIFORM SECURITIES ACT
• Ch. 5: Fraud and Liabilities

Text

(a) Except as otherwise provided in subsection
(b), a rule adopted or order issued under this article may require the
filing of a prospectus, a pamphlet, a circular, a form letter, an
advertisement, sales literature, or other advertising record relating to
a security or investment advice, addressed or intended for distribution
to prospective investors, including clients or prospective clients of a
person registered or required to be registered as an investment adviser
under this article.
(b) This section does not apply to sales and advertising literature
specified in subsection (a) that relates to a federal covered security, a
federal covered investment adviser, or a security or transaction
exempted by IC 23-19-2-1, IC 23-19-2-2, or IC 23-19-2-3 except as
required under IC 23-19-2-1(7).

Legislative History

As added by P.L.27-2007, SEC.23.