Indiana § 23-19-3-7 - Waiver or modification of requirements
Full text of Indiana Indiana Code § 23-19-3-7 — Waiver or modification of requirements, with citation guidance and answers to common questions.
§ 23-19-3-7. Waiver or modification of requirements
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.
As added by P.L.27-2007, SEC.23.
IC 23-19-4Chapter 4. Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
23-19-4-1Broker-dealer registration; exemptions; restrictions on employment or association; foreign transactions 23-19-4-1.5Exemption from registration for merger and acquisition brokers; exceptions 23-19-4-2Agent registration; exemptions; restrictions on employment or association; restrictions if no affiliation 23-19-4-3Investment adviser registration; exemptions; restrictions on employment or association 23-19-4-4Investment adviser representative registration; exemptions; restrictions on conducting business; referrals 23-19-4-5Federal covered investment adviser requirements; exemptions; filing 23-19-4-6Application for initial registration; requirements; amendments; national criminal history background check for investment adviser representative; effective date; renewal; conditions and waivers 23-19-4-7Succession; organization change; name change; change of control 23-19-4-8Termination notice; transfer of employment or association; temporary registration; prevention or suspension of transfer; cancellation or termination of registration; reinstatement 23-19-4-9Withdrawal of registration 23-19-4-10Fees; transmittal of fee; exception 23-19-4-11Minimum financial requirements; financial reports; amendment; records; audits or inspections; insurance or posting bond; supervision; compliance reports 23-19-4-11.5Prohibit selection of broker-dealer for completion of compliance report in consecutive years; prohibit selection of certain offices 23-19-4-12Denial, condition, revocation, suspension, or limitation of registration; censure, bar, or civil penalty for violation; grounds; examination; procedure 23-19-4-13Third party solicitor; required written disclosures; restrictions; exemptions
Source: official Indiana text · Last verified 2026-08-27
Frequently Asked Questions About Indiana § 23-19-3-7
What does Indiana Code § 23-19-3-7 cover?
Section 23-19-3-7 ("Waiver or modification of requirements") is part of the Indiana Code, the codified statutory law of Indiana. It sets out the legal rule or procedure described in the text above. Statutes are amended regularly, so always verify against the official source.
How do I cite Indiana § 23-19-3-7?
A common citation format is "Indiana Code § 23-19-3-7" (Indiana). Legal writing may require the code abbreviation, section number, and year or edition. Match the style required by your court, professor, or publisher.
Is this the official text of Indiana law?
No. This page is for research and education and may not include the most recent amendments. For official current law, check the Indiana official source linked on this page or consult a licensed Indiana attorney.
How does Indiana § 23-19-3-7 apply to my situation?
Statutes are interpreted in context, and application depends on your specific facts. Only a licensed attorney in Indiana can advise on how this section applies to you. Contact your state or local bar association for a referral.
Sources & Verification
Not legal advice. Verify against the official source and consult a licensed attorney in Indiana.