reglab/housing_qa huggingface dataset:
IN Code § 23-19-6-5 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 6. Administration and Judicial Review|23-19-6-5. Rules, Forms, and Orders; Financial Statements; Interpretive Opinions and Determinations; Good Faith Conduct; Public Hearings

Sec. 5. (a) The commissioner may:(1) issue forms and orders and, after notice and comment, may adopt and amend rules necessary or appropriate to carry out this article and may repeal rules, including rules and forms governing registration statements, applications, notice filings, reports, and other records;(2) by rule, define terms, whether or not used in this article, but those definitions may not be inconsistent with this article; and(3) by rule, classify securities, persons, and transactions and adopt different requirements for different classes.(b) Under this article, a rule or form may not be adopted or amended, or an order issued or amended, unless the commissioner finds that the rule, form, order, or amendment is necessary or appropriate in the public interest or for the protection of investors and is consistent with the purposes intended by this article.(c) Subject to Section 15(h) of the Securities Exchange Act of 1938 (15 U.S.C. 78o(h)) and Section 222 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-18a), the commissioner may require that a financial statement filed under this article be prepared in accordance with generally accepted accounting principles in the United States and comply with other requirements specified by rule adopted or order issued under this article. A rule adopted or order issued under this article may establish:(1) subject to Section 15(h) of the Securities Exchange Act of 1934 (15 U.S.C. 78o(h)) and Section 222 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-18a), the form and content of financial statements required under this article;(2) whether unconsolidated financial statements must be filed; and(3) whether required financial statements must be audited by an independent certified public accountant.(d) The commissioner may provide interpretive opinions or issue determinations that the commissioner will not institute a proceeding or an action under this article against a specified person for engaging in a specified act, practice, or course of business if the determination is consistent with this article. The commissioner shall charge a fee of one hundred dollars ($100) for an interpretive opinion or determination.(e) A penalty under this article may not be imposed for, and liability does not arise from, conduct that is engaged in or omitted in good faith and reasonably believed to be conforming to a rule, form, or order of the commissioner under this article.(f) A hearing in an administrative proceeding under this article must be conducted in public unless the commissioner finds a statutory basis that would allow the hearing to be closed to the public.As added by P.L.27-2007, SEC.23. Amended by P.L.230-2007, SEC.19; P.L.3-2008, SEC.172; P.L.152-2020, SEC.8.
IN Code § 23-19-6-6 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 6. Administration and Judicial Review|23-19-6-6. Register of Filings; Availability to Public; Reasonable Charge for Furnishing Copy

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.(b) The commissioner shall make all rules, forms, interpretive opinions, and orders available to the public.(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.
IN Code § 23-19-6-7 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 6. Administration and Judicial Review|23-19-6-7. Public Records; Inspection and Copying; Confidential Records

Sec. 7. (a) Except as otherwise provided in subsection (b), records obtained by the commissioner or filed under this article, including a record contained in or filed with a registration statement, application, notice filing, or report, are public records and are available for inspection and copying.(b) The following records are confidential and are not available for public inspection and copying under subsection (a):(1) A record obtained by the commissioner in connection with an audit or inspection under IC 23-19-4-11(d) or an investigation under section 2 of this chapter.(2) A part of a record filed in connection with a registration statement under IC 23-19-3-1 and IC 23-19-3-3 through IC 23-19-3-5 or a record under IC 23-19-4-11(d) that contains trade secrets or confidential information if the person filing the registration statement or report has asserted a claim of confidentiality or privilege that is authorized by law and approved by the commissioner.(3) A record that is not required to be provided to the commissioner or filed under this article and is provided to the commissioner only on the condition that the record will not be subject to public examination or disclosure.(4) Confidential records received from a person specified in section 8(a) of this chapter.(5) Any Social Security number, residential address unless used as a business address, and residential telephone number unless used as a business telephone number, contained in a record that is filed.(6) A record obtained by the commissioner through a designee of the commissioner that a rule or order under this article determines has been:(A) expunged from the commissioner's records by the designee; or(B) determined to be confidential by that designee if the commissioner finds the determination to be based on statutory authority.(c) If disclosure is for the purpose of a civil, administrative, or criminal investigation, action, or proceeding or to a person specified in section 8(a) of this chapter, the commissioner may disclose a record obtained in connection with an audit or inspection under IC 23-19-4-11(d) or a record obtained in connection with an investigation under section 2 of this chapter.As added by P.L.27-2007, SEC.23. Amended by P.L.230-2007, SEC.20.
IN Code § 23-19-6-8 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 6. Administration and Judicial Review|23-19-6-8. Uniformity Objective; Cooperation With Agencies; Policies

Sec. 8. (a) The commissioner shall, in its discretion, cooperate, coordinate, consult, and, subject to section 7 of this chapter, share records and information with the securities regulator of another state, Canada, a Canadian province or territory, a foreign jurisdiction, the Securities and Exchange Commission, the United States Department of Justice, the Commodity Futures Trading Commission, the Federal Trade Commission, the Securities Investor Protection Corporation, a self-regulatory organization, a national or international organization of securities regulators, a federal or state banking and insurance regulator, or a governmental law enforcement agency to effectuate greater uniformity in securities matters among the federal government, self-regulatory organizations, states, and foreign governments.(b) In cooperating, coordinating, consulting, and sharing records and information under this section and in acting by rule, order, or waiver under this article, the commissioner shall, in its discretion, take into consideration in carrying out the public interest the following general policies:(1) Maximizing effectiveness of regulation for the protection of investors.(2) Maximizing uniformity in federal and state regulatory standards.(3) Minimizing burdens on the business of capital formation, without adversely affecting essentials of investor protection.(c) The cooperation, coordination, consultation, and sharing of records and information authorized by this section includes:(1) establishing or employing one (1) or more designees as a central depository for registration and notice filings under this article and for records required or allowed to be maintained under this article;(2) developing and maintaining uniform forms;(3) conducting a joint examination or investigation;(4) holding a joint administrative hearing;(5) instituting and prosecuting a joint civil or administrative proceeding;(6) sharing and exchanging personnel;(7) coordinating registrations under IC 23-19-3 and IC 23-19-4-1 through IC 23-19-4-4 and exemptions under IC 23-19-2-3;(8) sharing and exchanging records, subject to section 7 of this chapter;(9) formulating rules, statements of policy, guidelines, forms, and interpretive opinions and releases;(10) formulating common systems and procedures;(11) notifying the public of proposed rules, forms, statements of policy, and guidelines;(12) attending conferences and other meetings among securities regulators, which may include representatives of governmental and private sector organizations involved in capital formation, considered necessary or appropriate to promote or achieve uniformity; and(13) developing and maintaining a uniform exemption from registration for small issuers, and taking other steps to reduce the burden of raising investment capital by small businesses.As added by P.L.27-2007, SEC.23. Amended by P.L.152-2020, SEC.10.
IN Code § 23-19-6-11 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 6. Administration and Judicial Review|23-19-6-11. Consent to Service of Process; Conduct Constituting Agent for Service of Process; Procedures; Continuances

Sec. 11. (a) An irrevocable consent to service of process required by this article must be signed and filed in the form required by a rule or order under this article. A consent appointing the secretary of state as the person's agent for service of process in an action or proceeding against the person, or the person's successor or personal representative under this article or a rule adopted or order issued under this article after the consent is filed, has the same force and validity as if the service were made personally on the person filing the consent. A person that has filed a consent complying with this subsection in connection with a previous application for registration or notice filing need not file an additional consent.(b) If a person, including a nonresident of this state, engages in an act, practice, or course of business prohibited or made actionable by this article or a rule adopted or order issued under this article and the person has not filed a consent to service of process under subsection (a), the act, practice, or course of business constitutes the appointment of the secretary of state as the person's agent for service of process in an action or proceeding against the person or the person's successor or personal representative.(c) Service under subsection (a) or (b) may be made by providing a copy of the process to the office of the secretary of state, but it is not effective unless:(1) the plaintiff, which may be the commissioner, promptly sends notice of the service and a copy of the process, return receipt requested, to the respondent at the address set forth in the consent to service of process or, if a consent to service of process has not been filed, at the last known address of the respondent, or takes other reasonable steps to give notice; and(2) the plaintiff files an affidavit of compliance with this subsection in the action or proceeding on or before the return day of the process, if any, or within the time that the court, or the commissioner in a proceeding before the commissioner, allows.(d) Service under subsection (c) may be used in a proceeding before the commissioner or by the commissioner in a civil action in which the commissioner is the moving party.(e) If process is served under subsection (c), the court, or the commissioner in a proceeding before the commissioner, shall order continuances as are necessary or appropriate to afford the defendant or respondent reasonable opportunity to defend.As added by P.L.27-2007, SEC.23.
IN Code § 23-19-7-1 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-1. "Commissioner"

Sec. 1. As used in this chapter, "commissioner" refers to the securities commissioner appointed by the secretary of state under IC 23-19-6-1(a).As added by P.L.85-2012, SEC.6.
IN Code § 23-19-7-2 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-2. "Division"

Sec. 2. As used in this chapter, "division" refers to the securities division of the office of the secretary of state.As added by P.L.85-2012, SEC.6.
IN Code § 23-19-7-3 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-3. "Fund"

Sec. 3. As used in this chapter, "fund" refers to the securities restitution fund established by IC 23-20-1-25.As added by P.L.85-2012, SEC.6.
IN Code § 23-19-7-4 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-4. "Informant"

Sec. 4. (a) As used in this chapter, "informant" means an individual who provides original information concerning a violation of this article to the division.(b) The term does not include an individual who is:(1) a journalist, a reporter, or any other member of the news media if the individual discovers or acquires the original information in the course of investigating or reporting a story, as part of an assignment, or through any other means related to the individual's work for, or in connection with, the news media; or(2) an employee of the division.As added by P.L.85-2012, SEC.6.
IN Code § 23-19-7-5 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-5. "Monetary Sanction"

Sec. 5. As used in this chapter, "monetary sanction" refers to money required to be paid under this article as the result of a judicial or an administrative action, including any penalties imposed or amounts ordered through an order of disgorgement. However, the term does not include any amounts ordered or identified as restitution.As added by P.L.85-2012, SEC.6. Amended by P.L.71-2014, SEC.4.
IN Code § 23-19-7-6 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-6. "Original Information"

Sec. 6. As used in this chapter, "original information" means information that:(1) is provided to the division by an informant;(2) is derived from the independent knowledge or analysis of the informant;(3) is not known to or derived by the informant exclusively from:(A) an allegation made in a judicial or an administrative proceeding;(B) a government audit, investigation, hearing, or report; or(C) a media report or an individual described in section 4(b)(1) of this chapter; and(4) would not otherwise be known to the division if the informant had not provided the information to the division.As added by P.L.85-2012, SEC.6.
IN Code § 23-19-7-7 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-7. Award to Informant for Original Information Leading to Successful Enforcement Action; Commissioner to Determine Amount; Award to Be Paid From Fund; Limit on Aggregate Amount of Awards

Sec. 7. (a) Except as provided in section 9 of this chapter, and subject to subsection (b) and section 8 of this chapter, if:(1) an informant:(A) voluntarily provides in writing, and in the form or manner required by the commissioner, original information to the division; and(B) includes, as part of the writing provided under clause (A), a signed statement indicating that the informant reasonably believes that the act or omission disclosed through the original information provided constitutes a violation of this article; and(2) the original information provided by the informant leads to the successful enforcement of a judicial or an administrative action under this article;the commissioner may award an amount, to be determined by the commissioner and paid from the fund, to the informant for the original information provided.(b) The commissioner may provide an award to one (1) or more informants in any single judicial or administrative proceeding under this article. However, the aggregate amount of the awards in any single judicial or administrative proceeding may not exceed ten percent (10%) of the total monetary sanctions imposed or ordered in the action.As added by P.L.85-2012, SEC.6.
IN Code § 23-19-7-8 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-8. Considerations in Determining Amount of Award

Sec. 8. In determining the amount of an award to be paid under this chapter, the commissioner shall consider:(1) the significance of the original information provided by the informant to the successful enforcement of the judicial or administrative action under this article;(2) the degree of assistance or cooperation provided by the informant in connection with the judicial or administrative proceedings;(3) the programmatic interest of the commissioner in deterring a violation of this article by making awards to informants who provide original information leading to the successful enforcement of this article; and(4) any other factors the commissioner considers relevant.As added by P.L.85-2012, SEC.6.
IN Code § 23-19-7-9 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-9. Circumstances When Award Prohibited

Sec. 9. The commissioner may not provide an award to an informant under this chapter if the informant:(1) is convicted of a crime in connection with the judicial or administrative proceeding for which the informant provided the original information;(2) acquired the original information in performing an examination of financial statements required under securities laws or regulations, if the informant's subsequent disclosure of the information acquired constitutes a violation of 15 U.S.C. 78j-1;(3) fails to provide the original information to the division in the manner prescribed by section 7(a)(1) of this chapter and in accordance with any other requirements prescribed by the commissioner;(4) knowingly or recklessly makes a false, fictitious, or fraudulent statement or a misrepresentation as part of, or in connection with:(A) the original information provided; or(B) the judicial or administrative proceeding for which the original information was provided;(5) uses, relies on, or provides a false writing or document knowing that, or with reckless disregard as to whether, the writing or document contains false, fictitious, or fraudulent information;(6) knows that, or has a reckless disregard as to whether, the original information provided is false, fictitious, or fraudulent; or(7) has a legal duty to provide the original information to the division.As added by P.L.85-2012, SEC.6.
IN Code § 23-19-7-10 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 19. Indiana Uniform Securities Act|Chapter 7. Awards for Reporting Securities Violations|23-19-7-10. Right or Obligation to Present Evidence to Grand Jury or Share Evidence in Criminal Investigation Unaffected

Sec. 10. This chapter does not limit or negate any right or obligation of any individual to present evidence to a grand jury or to share evidence with potential witnesses or defendants in the course of an ongoing criminal investigation.As added by P.L.85-2012, SEC.6.
IN Code § 23-20-1-1 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 20. Victims of Securities Violations|Chapter 1. Restitution for Victims of Securities Violations|23-20-1-1. "Claimant"

Sec. 1. (a) As used in this chapter, "claimant" means a victim filing an application for restitution assistance under this chapter.(b) The term includes:(1) a named party in an award;(2) the executor of a named party in an award; or(3) the heirs and assigns of a named party in an award.As added by P.L.114-2010, SEC.12.
IN Code § 23-20-1-2 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 20. Victims of Securities Violations|Chapter 1. Restitution for Victims of Securities Violations|23-20-1-2. "Division"

Sec. 2. As used in this chapter, "division" refers to the securities division of the office of the secretary of state.As added by P.L.114-2010, SEC.12.
IN Code § 23-20-1-3 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 20. Victims of Securities Violations|Chapter 1. Restitution for Victims of Securities Violations|23-20-1-3. "Fund"

Sec. 3. As used in this chapter, "fund" refers to the securities restitution fund established by section 25 of this chapter.As added by P.L.114-2010, SEC.12.
IN Code § 23-20-1-4 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 20. Victims of Securities Violations|Chapter 1. Restitution for Victims of Securities Violations|23-20-1-4. "Out-of-Pocket Loss"

Sec. 4. As used in this chapter, "out-of-pocket loss" means an amount equal to the amount of restitution ordered under any of the following:(1) A final court order.(2) A final administrative order.As added by P.L.114-2010, SEC.12.
IN Code § 23-20-1-5 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 20. Victims of Securities Violations|Chapter 1. Restitution for Victims of Securities Violations|23-20-1-5. "Person"

Sec. 5. As used in this chapter, "person" includes a sole proprietorship, a partnership, a corporation, an association, a fiduciary, or an individual.As added by P.L.114-2010, SEC.12.
IN Code § 23-20-1-6 (2021)
2021 Indiana Code|Title 23. Business and Other Associations|Article 20. Victims of Securities Violations|Chapter 1. Restitution for Victims of Securities Violations|23-20-1-6. "Securities Violation"

Sec. 6. As used in this chapter, "securities violation" means a violation of any of the following:(1) The Securities Act of 1933, as amended, and any regulations related to that act.(2) The Securities Exchange Act of 1934, as amended, and any regulations related to that act.(3) The Investment Company Act of 1940, as amended, and any regulations related to that act.(4) The Investment Advisers Act of 1940, as amended, and any regulations related to that act.(5) The Indiana Uniform Securities Act (IC 23-19) and any rules related to that act.(6) Other state securities acts and any rules or regulations related to those acts.As added by P.L.114-2010, SEC.12. Amended by P.L.42-2011, SEC.47.