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
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