710 IAC 4-7-5 Principal office

Sec. 5. (a) The broker-dealer license shall be displayed prominently at all times at the principal place of business of the broker-dealer. (b) A broker-dealer having its principal office in Indiana shall: (1) be open for the transaction of business during regular office hours; (2) maintain facilities for the reception of telephone calls and visits from the public; and (3) be open for inspection and examination by the division. (c) For a nonresident office, a broker-dealer having its principal office in another state: (1) must be registered or qualified to engage in the securities business in that state; and (2) shall be open for inspection and examination by the division.