710 IAC 4-14-13
710 IAC 4-14-13 Access to persons by division
Cite as Ind. Admin. Code tit. 710, r. 4-14-13
Sec. 13. Members of the division staff may interview individuals, included within the scope of IC 23-19, who may be present
on the broker-dealer's or investment adviser's premises and who voluntarily consent to be interviewed. If the interview is conducted on the broker-dealer's or investment adviser's premises, division staff shall be given access to a private, enclosed area where the interview can go forward without:
(1) monitoring;
(2) surveillance; or
(3) interference;
by any kind of device or by persons who are not members of the division staff.