1. Indiana Secretary of State Bookkeeper Manual
V. Agency Revenue
V. Agency Revenue
Each Division is responsible for a variety of filings related to the nature of the
service provided to our customers. It is essential to understand the nature and scope of
our services to be able to meet the expectations mentioned in previous sections. Listed
below are the perspective division’s filings that require a fee to process.
Business Services Division
Corporations U.C.C. Trademarks
Originating Documents Initial Filings Registrations
Amendments Amendments Renewal
Mergers/Share Exchange Searches
Entity Reports
Certifications
Name Reservations
Cooperatives
Trusts
Securities Division
Franchise
Applications/Renewals Loan Broker Applications Enforcement Fund
Franchise Exemption Collection Agency
Determinations Licensing Broker-Dealer Application
Investment Advisor Interpretive Opinion/No- Broker-Dealer Agent
Registration/Renewal Action/ Exemption Rulings Registration
Registration by Coordination Registration by Investment Company
Guaranty Fund/Cont. Care Qualification Initial Filing/Renewals
Administration/Miscellaneous Filings
Notaries Summons Motor Pools
The Bookkeeper should familiarize him/herself with the perspective fees
associated with each filing. Visit http://www.IN.gov/sos to obtain the most current list of
filing fees.
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2. Indiana Secretary of State Bookkeeper Manual
V. Agency Revenue
Dedicated Accounts
The majority of revenue received by the Secretary of State’s office will be
deposited into the General Fund as revenue.
Funds from the General Fund under most circumstances are appropriated to a
variety of programs and agencies. There are certain circumstances that revenues
collected are deposited into Agency specific accounts. These accounts hold many
similarities to a standard personal checking account by the nature they are maintained.
Enhance Access Fund (6000/141700)
Enhance Access Fund was established in accordance to IC 4-5-10-5. Fees
applicable to online services generate revenue. These convenience-based fees allow
customers to access or file information 24 hours a day from the comfort of any Internet
accessible location.
Revenue received from the Enhance Access Fund is used to improve processes
performed by the Indiana Secretary of State’s Office with technological innovations.
Securities Enforcement Fund (1000/210400)
Is in accordance with IC 23-2-1-15, however, costs of investigations recovered
under sections 16(d) and 17.1(c) of this chapter shall be deposited with the treasurer of
state to be deposited by the treasurer of state in a separate account to be known as the
securities division enforcement account.
The funds in the account shall be available, with the approval of the budget
agency, to augment and supplement the funds appropriated for the administration of
this chapter.
Securities Division Escrow Account (6000/164300)
Funds in the Escrow Account will be used also in regards in payment according to IC:
23-2-1-19, which states that the person(s) mentioned "is liable to any other party to the
transaction who did not knowingly participate in the violation or who did not have, at the
time of the transaction, knowledge."
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3. Indiana Secretary of State Bookkeeper Manual
V. Agency Revenue
Funds deposited into the Escrow Account will be disbursed via claim vouchers to
the parties affected. The Escrow Account is necessary to hold the funds in the interim
as disbursement payments are received and prepared.
Loan Broker Regulation Account (1000/105190)
The Loan Broker Account is technically a branch of the General Fund. Key
differences between a standard account in the General Fund and the Loan Broker
account are:
- Funds in the Loan Broker must only be used in regards to the regulation of Loan
Brokers
- Funds do not revert to any other account within the General Fund at the end of
the fiscal year
Guaranty Fund (6810/104000)
Pursuant to Indiana Code: 23-2-4, the Indiana Securities Division regulates the
offer and sale of Continuing Care agreements in the state. The Act also establishes the
Indiana Retirement Home Guaranty Fund, designed to protect the financial interests of
Indiana citizens who enter into continuing care agreements with providers, should the
provider declare bankruptcy.
The Board of Directors must operate under a Plan of Operation adopted by the
Board and approved by the Indiana Securities Commissioner. The Plan provides for the
administration of the Fund in the event that a provider becomes bankrupt.
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