710 IAC 4-14-10 - Access to premises by division; generally

Authority: IC 23-19-6-5

Affected: IC 23-19

Sec. 10.

All broker-dealers and investment advisers registered with the division shall, upon request, provide members of the division's staff prompt access, during regular business hours, to that part of the premises at the broker-dealer's or investment adviser's place of business where:

(1) documents are stored; or
(2) trading or investor solicitation is conducted.

Notes

710 IAC 4-14-10
Securities Division; 710 IAC 4-14-10; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA

State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.


No prior version found.