N.J. Admin. Code § 13:47A-14.13

Current through Register Vol. 56, No. 24, December 18, 2024

Section 13:47A-14.13 - Observation of conduct of business by Bureau

A broker-dealer or investment adviser registered with the Bureau shall accord members of the Bureau staff the opportunity to observe the conduct of business at the broker-dealer's or investment adviser's place of business.

N.J. Admin. Code § 13:47A-14.13

Amended by R.2008 d.301, effective 10/6/2008.
See: 40 N.J.R. 2061(a), 40 N.J.R. 5820(a).
Substituted "adviser" for "advisor" and "adviser's" for "advisor's".