Section 36b-31-14f - Examinations by commissioner(a) For purposes of this section, (1) "commissioner" includes any representative of the commissioner conducting an examination and (2) "records" includes, but is not limited to, diaries, logs, notes, memoranda, reports, advisories, updates, ledgers, journals, visual and audio recordings, manual and computer records and related software, and any summary, outline and index thereof.(b) A registered broker-dealer or investment adviser shall (1) make its records available to the commissioner in readable form; (2) provide personnel and equipment necessary to the conduct of the examination, including but not limited to assistance in the analysis of computer generated records; (3) provide copies or computer printouts of records when so requested; and (4) furnish access to all areas of its securities or investment advisory operations conducted on or off the premises and otherwise facilitate the examination.(c) Required records may be examined at the location where they are maintained or with respect to records not maintained at a Connecticut location, at any other reasonable location as determined by the commissioner.(d) Upon the request of the commissioner, a registered broker-dealer or investment adviser shall produce and furnish to the commissioner a list of all records relating to the business conducted from that location.Conn. Agencies Regs. § 36b-31-14f
Effective August 22, 1994; Transferred July 3, 1995