710 IAC 4-15-2

710 IAC 4-15-2 Process for submitting completed compliance reports

Last amended: 2022Year: 2027Length: 33 wordsOfficial source

Cite as Ind. Admin. Code tit. 710, r. 4-15-2

Sec. 2. After completing a compliance report, the approved examiner must submit: (1) the report to the securities division directly; and (2) a copy of the report to the broker-dealer that was examined.
710 IAC 4-15-2: 710 IAC 4-15-2 Process for submitting completed compliance reports | Justis AI