710 IAC 4-5-4 - Reports to securities holders

Authority: IC 23-19-6-5

Affected: IC 23-19-5-4

Sec. 4.

Each issuer of securities registered by qualification that is also the applicant or is controlled by the applicant shall distribute an annual report to the holders of its securities. The report shall include audited financial statements, including profit and loss statements for the past five (5) years. The report shall be distributed not less than ten (10) days in advance of the annual meeting that shall be held not later than five (5) months after the close of each fiscal year. The undertaking shall:

(1) be included in the prospectus; and

(2) remain in effect through the first fiscal year ending after termination of the registration.

Notes

710 IAC 4-5-4

Securities Division; 710 IAC 4-5-4; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA Readopted filed 11/30/2022, 4:01 p.m.: 20221228-IR-710220301RFA