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Indiana Code Title 23. Business and Other Associations § 23-2-6-35

Current as of January 02, 2024 | Updated by Findlaw Staff

Sec. 35. (a) In order to encourage uniform application and interpretation of this chapter and in order to encourage securities regulation and enforcement, the commissioner and the commissioner's employees may cooperate with any of the following:

(1) A securities or commodities agency or the securities commissioner of any other jurisdiction, including any foreign jurisdiction.

(2) An agency administering any laws similar to this chapter.

(3) The Commodity Futures Trading Commission.

(4) The Securities and Exchange Commission.

(5) A self-regulatory organization established under the Commodity Exchange Act or the Securities Exchange Act of 1934  1.

(6) A national or international organization of commodities or securities officials or agencies.

(7) A governmental law enforcement agency.

(b) The cooperation authorized by subsection (a) may include the following if the information sought would be subject to lawful subpoena for conduct occurring in Indiana:

(1) Bearing the expense of any type of cooperation described in this subsection.

(2) Making joint examinations or investigations.

(3) Holding joint administrative hearings.

(4) Filing and prosecuting joint litigation.

(5) Sharing and exchanging personnel.

(6) Sharing and exchanging information and documents.

(7) Writing and adopting mutual regulations, statements of policy, guidelines, proposed statutory changes, and releases.

(8) Issuing and enforcing subpoenas at the request of any of the following:

(A) An agency in another jurisdiction that administers a law similar to this chapter.

(B) A securities or commodities agency of another jurisdiction.

(C) The Commodity Futures Trading Commission.

(D) The Securities and Exchange Commission.

1  15 U.S.C.A. § 78a et seq.
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Cite this article: FindLaw.com - Indiana Code Title 23. Business and Other Associations § 23-2-6-35 - last updated January 02, 2024 | https://codes.findlaw.com/in/title-23-business-and-other-associations/in-code-sect-23-2-6-35/

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