Sec. 7. The commissioner may waive or modify, in whole or in part, any or all of the requirements of sections 2, 3, and 4(b) of this chapter or the requirement of any information or record in a registration statement or in a periodic report filed under section 5(i) of this chapter. IC 23-19-4 Chapter 4. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers 23-19-4-1 Broker-dealer registration; exemptions; restrictions on employment or association; foreign transactions 23-19-4-2 Agent registration; exemptions; restrictions on employment or association; restrictions if no affiliation 23-19-4-3 Investment adviser registration; exemptions; restrictions on employment or association 23-19-4-4 Investment adviser representative registration; exemptions; restrictions on conducting business; referrals 23-19-4-5 Federal covered investment adviser requirements; exemptions; filing 23-19-4-6 Application for initial registration; requirements; amendments; national criminal history background check for investment adviser representative; effective date; renewal; conditions and waivers 23-19-4-7 Succession; organization change; name change; change of control 23-19-4-8 Termination notice; transfer of employment or association; temporary registration; prevention or suspension of transfer; cancellation or termination of registration; reinstatement 23-19-4-9 Withdrawal of registration 23-19-4-10 Fees; transmittal of fee; exception 23-19-4-11 Minimum financial requirements; financial reports; amendment; records; audits or inspections; insurance or posting bond; supervision; continuing education; compliance reports 23-19-4-11.5 Prohibit selection of broker-dealer for completion of compliance report in consecutive years; prohibit selection of certain offices 23-19-4-12 Denial, condition, revocation, suspension, or limitation of registration; censure, bar, or civil penalty for violation; grounds; examination; procedure 23-19-4-13 Third party solicitor; required written disclosures; restrictions; exemptions
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