710 IAC 4-14-11 - Observation of conduct of business by division

Authority: IC 23-19-6-5

Affected: IC 23-19

Sec. 11.

A broker-dealer or investment adviser registered with the division shall accord members of the division staff the opportunity to observe the conduct of business at the broker-dealer's or investment adviser's place of business.

Notes

710 IAC 4-14-11
Securities Division; 710 IAC 4-14-11; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA Readopted filed 11/30/2022, 4:01 p.m.: 20221228-IR-710220301RFA

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