Ind. Code § 23-19-4.1-5

Current through P.L. 171-2024

Section 23-19-4.1-5 - "Qualified individual"

As used in this chapter, "qualified individual" means an individual associated with a broker-dealer or investment adviser who serves in a supervisory, compliance, or legal capacity as part of the individual's job.

IC 23-19-4.1-5

Amended by P.L. 158-2017,SEC. 8, eff. 7/1/2017.

Added by P.L. 39-2016, SEC. 1, eff. 7/1/2016.