Ind. Admin. Code tit. 710, r. 4-14-13
Authority: IC 23-19-6-5
Affected: IC 23-19
Sec. 13. Members of the division staff may interview individuals, included within the scope of IC 23-19, who may be present on the broker-dealer's or investment adviser's premises and who voluntarily consent to be interviewed. If the interview is conducted on the broker- dealer's or investment adviser's premises, division staff shall be given access to a private, enclosed area where the interview can go forward without:
by any kind of device or by persons who are not members of the division staff.
(Securities Division; 710 IAC 4-14-13; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608- IR-710160136RFA; readopted filed Nov 30, 2022, 4:01 p.m.: 20221228-IR-710220301RFA)