Section 710IAC4-7-5. Principal office

Latest version.

   (a) The broker-dealer license shall be displayed prominently at all times at the principal place of business of the broker-dealer.

  (b) A broker-dealer having its principal office in Indiana shall:

(1) be open for the transaction of business during regular office hours;

(2) maintain facilities for the reception of telephone calls and visits from the public; and

(3) be open for inspection and examination by the division.

  (c) For a nonresident office, a broker-dealer having its principal office in another state:

(1) must be registered or qualified to engage in the securities business in that state; and

(2) shall be open for inspection and examination by the division.

(Securities Division; 710 IAC 4-7-5; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA)

                    
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