710 IAC 4-14-11

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

Last amended: 2022Year: 2027Length: 35 wordsOfficial source

Cite as Ind. Admin. Code tit. 710, r. 4-14-11

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.
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