Indiana Administrative Code
Title 68 - INDIANA GAMING COMMISSION
Article 4 - CORPORATIONS
Rule 1 - Publicly Traded Corporations
Section 1-5 - Fraudulent and deceptive practices prohibited
Current through September 18, 2024
Authority: IC 4-33-4; IC 4-35-4
Affected: IC 4-33; IC 4-35; IC 23-19-1
Sec. 5.
The executive director may initiate a disciplinary action under 68 IAC 13 if a person, in connection with the purchase or sale of any security issued by a casino licensee, supplier licensee, affiliate, or controlling person thereof:
(1) is found guilty of;
(2) pleads nolo contendere to;
(3) is the subject of a final cease and desist order with respect to;
(4) is subject to an order of permanent injunction issued on the basis of; or
(5) is the subject of a similar final action taken on the basis of; a violation of Rule 10b-5 promulgated by the Securities and Exchange Commission under Section 10(b) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78a et seq.) or a violation of IC 23-19-1.
