New Jersey Administrative Code
Title 13 - LAW AND PUBLIC SAFETY
Chapter 47A - BUREAU OF SECURITIES
Subchapter 14 - RULES OF PRACTICE RELATING TO INVESTIGATIONS
Section 13:47A-14.14 - Access to documents by Bureau

Universal Citation: NJ Admin Code 13:47A-14.14

Current through Register Vol. 56, No. 18, September 16, 2024

(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.

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