710 Ind. Admin. Code 4-14-12

Current through December 4, 2024

Section 710 IAC 4-14-12 - Access to documents by division

Authority: IC 23-19-6-5

Affected: IC 23-19

Sec. 12.

(a) The division, without notice, may examine, in a manner reasonable under the circumstances, the records, within or without Indiana, of a registered:

(1) broker-dealer;

(2) agent;

(3) investment adviser; or

(4) investment adviser representative;

in order to determine compliance with the Indiana Uniform Securities Act. These persons registered with the division shall make their records available to the division in legible form.

(b) The division may copy records or require a broker-dealer or an investment adviser to copy records and provide the copies to the division to the extent and in the manner reasonable under the circumstances.

(c) The division may impose a reasonable fee for the expense of making any copies under subsection (b).

710 IAC 4-14-12

Securities Division; 710 IAC 4-14-12; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA

Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA

Readopted filed 11/30/2022, 4:01 p.m.: 20221228-IR-710220301RFA