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The requirements and obligations for investment advisers are detailed in the Indiana Code and the Indiana Administrative Code. If there are questions regarding whether an investment adviser’s activities comply with the outlined obligations, consult legal counsel or a compliance consultant.
Also, the State Treasurer may invest available funds in deposit accounts, include certificate of deposits, with any approved depository as defined in IC 5-13-4-8. The Treasurer of State may make investments in securities with a final stated maturity of up to 5 years.
You must fulfill the exam requirements by passing the S7 and the S66 or by passing the S65 or by holding in good standing one or more of the following approved professional designations: CFP, CFA, ChFC, CIC, or PFS.
Under Ind. Code § 23-19-3-4, registration by qualification is available for securities offerings that are exempt from federal registration with the Securities and Exchange Commission (“SEC”) under the Securities Act of 1933, but not exempt from registration in Indiana.
The Registration Category of "Amendment" should only be selected if a post-effective amendment is being made to increase the number of securities specified to be offered or sold. To file all other amendments and supplemental materials, proceed to the "My Registrations" page.
Sec. 1. The treasurer of state is responsible for the safekeeping and investment of moneys and securities paid into the state treasury. As added by Acts 1979, P.L.22, SEC.1.
Financial & Bonding Requirements. An IA is not required to maintain a bond or satisfy a minimum net worth requirement. Audited financial statements are required for IAs that have custody of client funds and IAs that require advance payment of fees in excess of $500 or 6 months in advance.
