N.J. Admin. Code § 13:47A-14.14

Current through Register Vol. 56, No. 21, November 4, 2024

Section 13:47A-14.14 - Access to documents by Bureau

(a) The Bureau, without notice, may examine in a manner reasonable under the circumstances the records, within or without this State, of a registered broker-dealer, agent, or investment adviser in order to determine compliance with the Uniform Securities Law. Broker-dealers, agents, and investment advisers shall make their records available to the Bureau in legible form.

(b) The Bureau may copy records or require a registered person to copy records and provide the copies to the Bureau to the extent and in a manner reasonable under the circumstances.

(c) The Bureau may impose a reasonable fee for the expense of making any copies under (b) above.

N.J. Admin. Code § 13:47A-14.14

Amended by R.2008 d.301, effective 10/6/2008.
See: 40 N.J.R. 2061(a), 40 N.J.R. 5820(a).
In (a), substituted "adviser" for "advisor" and "advisers" for "advisors".