§ 7-11-704 Cooperation with otheragencies. – (a) To encourage uniform interpretation and administration of this chapter andeffective securities regulation and enforcement, the director may cooperatewith the securities agencies or administrators of one or more states, Canadianprovinces or territories, or another country, the securities and exchangecommission, the commodity futures trading commission, the securities investorprotection corporation, any self regulatory organization, any national orinternational organization of securities officials or agencies, and anygovernmental law enforcement or regulatory agency.
(b) The cooperation authorized by subsection (a) includes,but is not limited to, the following actions:
(1) Establishing a central depository for licensing orregistration under this chapter and for documents or records required orallowed to be maintained under this chapter;
(2) Making a joint license or registration examination orinvestigation;
(3) Holding a joint administrative hearing;
(4) Filing and prosecuting a joint civil or administrativeproceeding;
(5) Sharing and exchanging personnel;
(6) Sharing and exchanging information and documents subjectto the restrictions of applicable state law; and
(7) Formulating, in accordance with the administrativeprocedure act of this state, rules or proposed rules on matters such asstatements of policy, guidelines, and interpretive opinions and releases.
§ 7-11-704 Cooperation with otheragencies. – (a) To encourage uniform interpretation and administration of this chapter andeffective securities regulation and enforcement, the director may cooperatewith the securities agencies or administrators of one or more states, Canadianprovinces or territories, or another country, the securities and exchangecommission, the commodity futures trading commission, the securities investorprotection corporation, any self regulatory organization, any national orinternational organization of securities officials or agencies, and anygovernmental law enforcement or regulatory agency.
(b) The cooperation authorized by subsection (a) includes,but is not limited to, the following actions:
(1) Establishing a central depository for licensing orregistration under this chapter and for documents or records required orallowed to be maintained under this chapter;
(2) Making a joint license or registration examination orinvestigation;
(3) Holding a joint administrative hearing;
(4) Filing and prosecuting a joint civil or administrativeproceeding;
(5) Sharing and exchanging personnel;
(6) Sharing and exchanging information and documents subjectto the restrictions of applicable state law; and
(7) Formulating, in accordance with the administrativeprocedure act of this state, rules or proposed rules on matters such asstatements of policy, guidelines, and interpretive opinions and releases.
§ 7-11-704 Cooperation with otheragencies. – (a) To encourage uniform interpretation and administration of this chapter andeffective securities regulation and enforcement, the director may cooperatewith the securities agencies or administrators of one or more states, Canadianprovinces or territories, or another country, the securities and exchangecommission, the commodity futures trading commission, the securities investorprotection corporation, any self regulatory organization, any national orinternational organization of securities officials or agencies, and anygovernmental law enforcement or regulatory agency.
(b) The cooperation authorized by subsection (a) includes,but is not limited to, the following actions:
(1) Establishing a central depository for licensing orregistration under this chapter and for documents or records required orallowed to be maintained under this chapter;
(2) Making a joint license or registration examination orinvestigation;
(3) Holding a joint administrative hearing;
(4) Filing and prosecuting a joint civil or administrativeproceeding;
(5) Sharing and exchanging personnel;
(6) Sharing and exchanging information and documents subjectto the restrictions of applicable state law; and
(7) Formulating, in accordance with the administrativeprocedure act of this state, rules or proposed rules on matters such asstatements of policy, guidelines, and interpretive opinions and releases.
