Section 710 IAC 4-9-4 - Incomplete and abandoned applicationsAuthority: IC 23-19-6-5
Affected: IC 23-19
Sec. 4.
(a) An application for registration as an investment adviser or investment adviser representative is deficient if the application is not in proper form or the application is not in compliance with IC 23-19 or any other provision of this rule.(b) When an application is found to be deficient, the commissioner may send a deficiency letter stating the grounds for noncompliance to the applicant and, if the applicant is an investment adviser representative, to the investment adviser who employs or proposes to employ the applicant. If no response is received by the commissioner from the applicant after sixty (60) days, the commissioner may issue a notice of intent to deny the application, under IC 23-19, stating that the commissioner proposes to issue an order denying the application. Securities Division; 710 IAC 4-9-4; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRAReadopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFAReadopted filed 11/30/2022, 4:01 p.m.: 20221228-IR-710220301RFA