44-3300. Confidentiality
A. The names of complainants and all information or documents obtained by any officer, employee or agent of the commission, including the shorthand reporter or stenographer transcribing the reporter's notes, in the course of any examination or investigation are confidential unless the names, information or documents are made a matter of public record. An officer, employee or agent of the commission shall not make the confidential names, information or documents available to anyone other than a member of the commission, another officer or employee of the commission, an agent who is designated by the commission or director, the attorney general or law enforcement or regulatory officials, except pursuant to any rule of the commission or unless the commission or the director authorizes the disclosure of the names, information or documents as not contrary to the public interest.
B. The commission shall not disclose the home address, home telephone number and social security number of an individual investment adviser or an investment adviser representative unless the commission or the director authorizes the disclosure of the information as not contrary to the public interest.
Section: Previous 44-3293 44-3294 44-3295 44-3296 44-3297 44-3298 44-3299 44-3300 44-3321 44-3322 44-3323 44-3324 44-3325 44-5001 44-5002 NextLast modified: October 13, 2016