710 Ind. Admin. Code 4-7-5

Current through October 31, 2024

Section 710 IAC 4-7-5 - Principal office

Authority: IC 23-19-6-5

Affected: IC 23-19

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.

710 IAC 4-7-5

Securities Division; 710 IAC 4-7-5; 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