(b) A broker-dealer registered or required to be registered under this article may not be selected for completion of a compliance report under section 11(i) of this chapter in consecutive years unless the commissioner has reason to believe that the broker-dealer has committed a violation of this article.(c) The commissioner may not select for completion of a compliance report under section 11(i) of this chapter any office that:(1) reports to an office of supervisory jurisdiction located within Indiana;(2) reflects the address of the office of supervisory jurisdiction described in subdivision (1) on all of the office's business cards, stationery, advertisements, and other communications to the public; and(3) is included in the definition of branch office under the National Association of Securities Dealers Conduct Rule 3010(g) because the office:(A) handles funds or securities as described under the National Association of Securities Dealers Conduct Rule 3010(g)(2)(A)(ii)(c); tion of Securities Dealers Conduct Rule 3010(g) because the office:(A) handles funds or securities as described under the National Association of Securities Dealers Conduct Rule 3010(g)(2)(A)(ii)(c); or(B) uses the residential address on all business cards, stationery, advertisements, or other communications to the public under the National Association of Securities Dealers Conduct Rule 3010(g)(2)(A)(ii)(d).As added by P.L.149-2009, SEC.2.
Indiana Legal Code