17-12a606. Administrative files and opinions.
17-12a606
17-12a606. Administrative files and
opinions.
(a) Public register of filings. The administrator
shall maintain, or designate a person to maintain, a register of
applications for registration of securities; registration
statements; notice filings; applications for registration of broker-dealers,
agents, investment advisers, and investment adviser
representatives; notice filings by federal covered investment
advisers that are or have been effective under this act or the
predecessor act; notices of claims of exemption from registration
or notice filing requirements contained in a record; orders issued
under this act or the predecessor act; and interpretative opinions
or no action determinations issued under this act.
(b) Public availability. The administrator shall make all
rules, forms, interpretative opinions, and orders available to the
public.
(c) Copies of public records. The administrator shall furnish a
copy of a record that is a public record or a certification that
the public record does not exist to a person that so requests. A
rule adopted under this act may establish a reasonable charge for
furnishing the record or certification. A copy of the record
certified or a certificate by the administrator of a record's
nonexistence is prima facie evidence of a record or its
nonexistence.
History: L. 2004, ch. 154, § 45; July 1, 2005.