710 IAC 4-14-13 - Access to persons by division

Authority: IC 23-19-6-5

Affected: IC 23-19

Sec. 13.

Members of the division staff may interview individuals, included within the scope of IC 23-19, who may be present on the broker-dealer's or investment adviser's premises and who voluntarily consent to be interviewed. If the interview is conducted on the broker-dealer's or investment adviser's premises, division staff shall be given access to a private, enclosed area where the interview can go forward without:

(1) monitoring;
(2) surveillance; or
(3) interference;

by any kind of device or by persons who are not members of the division staff.

Notes

710 IAC 4-14-13
Securities Division; 710 IAC 4-14-13; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA

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