Section 710IAC4-14-3. Applicability

Latest version.

(a) This rule is applicable to a person who appears:

(1) voluntarily;

(2) pursuant to an administrative investigative subpoena or administrative order; or

(3) at the request of, or with the permission of, the division.

(b) The person being sworn in an investigation or examination shall be referred to as a "witness". The investigation or examination, hereinafter referred to as an "investigative proceeding", shall be conducted by the division before any other person designated by the division for the purpose of taking testimony of witnesses and receiving other evidence. (Securities Division; 710 IAC 4-14-3; 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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