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. (1) be open for the transaction of business during regular office hours;
2. (2) maintain facilities for the reception of telephone calls and visits from the public; and
3. (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. (1) must be registered or qualified to engage in the securities business in that state; and
2. (2) shall be open for inspection and examination by the division.

(Securities Division; 710 IAC 4-7-5; 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)