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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.
A broker-dealer conducting business in Indiana must register with the Securities and Exchange Commission (“SEC”) unless exempt from federal registration, as well as the Indiana Secretary of State, Securities Division (“Division”).
In order to become a stockbroker in Indiana, you must be registered with the Indiana Securities Bureau, the Securities and Exchange Commission (SEC), and at least one self-regulatory organization (SRO) recognized by the SEC.
In general, individuals and firms engaged in the securities industry in Indiana are required to meet threshold requirements and must register with the Indiana Secretary of State, Securities Division (“Division”).
You’ll be required to take either: The Series 65, Uniform Investment Adviser Law Examination by itself; OR. The Series 66, Uniform Combined State Law Examination in combination with the Series 7, General Securities Representative Examination.
How do I obtain a hunting, fishing or trapping license? Will drilling for oil and gas on my property pollute my water well? More FAQs. License, permits and forms from the Indiana Department of Natural Resources.
12 kwi 2024 · Step 1: Get to Know FINRA and NASAA—If You Haven’t Already. Financial Industry Regulatory Authority (FINRA) is the organization in charge of securities licensing and requirements, and it also administers most of the exams you’ll need to pass to get your license.
