![]() |
Indiana Administrative Code (Last Updated: December 20, 2016) |
![]() |
Title 710. SECURITIES DIVISION |
![]() |
Article 710IAC4. UNIFORM SECURITIES |
![]() |
Rule 710IAC4-14. Investigation; Rules of Practice |
Section 710IAC4-14-10. Access to premises by division; generally
Latest version.
-
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.
(Securities Division; 710 IAC 4-14-10; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA)