LD 509
pg. 79
Page 78 of 94 PUBLIC Law Chapter 65 Page 80 of 94
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LR 441
Item 1

 
1.__Presumption of public records.__Except as otherwise
provided in subsection 2, records obtained by the administrator
or filed under this chapter, including a record contained in or
filed with a registration statement, application, notice filing
or report, are public records and are available for public
examination in accordance with Title 1, chapter 13, subchapter 1.

 
2.__Nonpublic records.__The following records are not public
records and are not available for public examination under
subsection 1:

 
A.__A record obtained by the administrator in connection
with an audit or inspection under section 16411, subsection
4 or an investigation under section 16602;

 
B.__A part of a record filed in connection with a
registration statement under section 16301 and sections
16303 to 16305 or a record under section 16411, subsection 4
that contains trade secrets or confidential information if
the person filing the registration statement or report has
asserted a claim of confidentiality or privilege that is
authorized by law;

 
C.__A record that is not required to be provided to the
administrator or filed under this chapter and is provided to
the administrator only on the condition that the record will
not be subject to public examination or disclosure;

 
D.__A record received from a person specified in section
16608, subsection 1 that has been designated as confidential
by the agency furnishing the record;

 
E.__Any social security number, residential address unless
used as a business address and residential telephone number
unless used as a business telephone number contained in a
record that is filed;

 
F.__A record obtained by the administrator through a
designee of the administrator that, pursuant to a routine
technical rule, as defined in Title 5, chapter 375,
subchapter 2-A, or an order under this chapter, has been:

 
(1)__Expunged from the administrator's records by the
designee; or

 
(2)__Determined to be nonpublic or nondisclosable by
that designee if the administrator finds the
determination to be in the public interest and for the
protection of investors;


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