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. (1) the report to the securities division directly; and
2. (2) a copy of the report to the broker-dealer that was examined.

(Securities Division; 710 IAC 4-15-2; filed Jun 28, 2010, 2:42 p.m.: 20100728-IR-710090619FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA; readopted filed Nov 30, 2022, 4:01 p.m.: 20221228-IR- 710220301RFA)