710 Ind. Admin. Code 4-15-2

Current through December 4, 2024

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

Authority: IC 23-19-4-11

Affected: IC 23-19-4-11

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

Securities Division; 710 IAC 4-15-2; filed Jun 28, 2010, 2:42 p.m.: 20100728-IR-710090619FRA

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

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