409.6-607. (a) Except as otherwise provided in subsection (b), recordsobtained by the commissioner or filed under this act, including a recordcontained in or filed with a registration statement, application, noticefiling, or report, are public records and are available for publicexamination.
(b) The following records are not public records and are not availablefor public examination under subsection (a):
(1) A record obtained by the commissioner in connection with an audit orinspection under section 409.4-411(d) or an investigation under section409.6-602;
(2) A part of a record filed in connection with a registration statementunder sections 409.3-301 and 409.3-303 to 409.3-305 or a record under section409.4-411(d) that contains trade secrets or confidential information if theperson filing the registration statement or report has asserted a claim ofconfidentiality or privilege that is authorized by law;
(3) A record that is not required to be provided to the commissioner orfiled under this act and is provided to the commissioner only on the conditionthat the record will not be subject to public examination or disclosure;
(4) A nonpublic record received from a person specified in section409.6-608(a);
(5) Any Social Security number, residential address unless used as abusiness address, and residential telephone number contained in a record thatis filed; and
(6) A record obtained by the commissioner through a designee of thecommissioner that a rule or order under this act determines has been:
(A) Expunged from the commissioner's records by the designee; or
(B) Determined to be nonpublic or nondisclosable by that designee if thecommissioner finds the determination to be in the public interest and for theprotection of investors.
(c) If disclosure is for the purpose of a civil, administrative, orcriminal investigation, action, or proceeding or to a person specified insection 409.6-608(a), the commissioner may disclose a record obtained inconnection with an audit or inspection under section 409.4-411(d) or a recordobtained in connection with an investigation under section 409.6-602.
409.6-607. (a) Except as otherwise provided in subsection (b), recordsobtained by the commissioner or filed under this act, including a recordcontained in or filed with a registration statement, application, noticefiling, or report, are public records and are available for publicexamination.
(b) The following records are not public records and are not availablefor public examination under subsection (a):
(1) A record obtained by the commissioner in connection with an audit orinspection under section 409.4-411(d) or an investigation under section409.6-602;
(2) A part of a record filed in connection with a registration statementunder sections 409.3-301 and 409.3-303 to 409.3-305 or a record under section409.4-411(d) that contains trade secrets or confidential information if theperson filing the registration statement or report has asserted a claim ofconfidentiality or privilege that is authorized by law;
(3) A record that is not required to be provided to the commissioner orfiled under this act and is provided to the commissioner only on the conditionthat the record will not be subject to public examination or disclosure;
(4) A nonpublic record received from a person specified in section409.6-608(a);
(5) Any Social Security number, residential address unless used as abusiness address, and residential telephone number contained in a record thatis filed; and
(6) A record obtained by the commissioner through a designee of thecommissioner that a rule or order under this act determines has been:
(A) Expunged from the commissioner's records by the designee; or
(B) Determined to be nonpublic or nondisclosable by that designee if thecommissioner finds the determination to be in the public interest and for theprotection of investors.
(c) If disclosure is for the purpose of a civil, administrative, orcriminal investigation, action, or proceeding or to a person specified insection 409.6-608(a), the commissioner may disclose a record obtained inconnection with an audit or inspection under section 409.4-411(d) or a recordobtained in connection with an investigation under section 409.6-602.
409.6-607. (a) Except as otherwise provided in subsection (b), recordsobtained by the commissioner or filed under this act, including a recordcontained in or filed with a registration statement, application, noticefiling, or report, are public records and are available for publicexamination.
(b) The following records are not public records and are not availablefor public examination under subsection (a):
(1) A record obtained by the commissioner in connection with an audit orinspection under section 409.4-411(d) or an investigation under section409.6-602;
(2) A part of a record filed in connection with a registration statementunder sections 409.3-301 and 409.3-303 to 409.3-305 or a record under section409.4-411(d) that contains trade secrets or confidential information if theperson filing the registration statement or report has asserted a claim ofconfidentiality or privilege that is authorized by law;
(3) A record that is not required to be provided to the commissioner orfiled under this act and is provided to the commissioner only on the conditionthat the record will not be subject to public examination or disclosure;
(4) A nonpublic record received from a person specified in section409.6-608(a);
(5) Any Social Security number, residential address unless used as abusiness address, and residential telephone number contained in a record thatis filed; and
(6) A record obtained by the commissioner through a designee of thecommissioner that a rule or order under this act determines has been:
(A) Expunged from the commissioner's records by the designee; or
(B) Determined to be nonpublic or nondisclosable by that designee if thecommissioner finds the determination to be in the public interest and for theprotection of investors.
(c) If disclosure is for the purpose of a civil, administrative, orcriminal investigation, action, or proceeding or to a person specified insection 409.6-608(a), the commissioner may disclose a record obtained inconnection with an audit or inspection under section 409.4-411(d) or a recordobtained in connection with an investigation under section 409.6-602.
