State Codes and Statutes
Statutes > Vermont > Title-09 > Chapter-150 > 5607§ 5607. Public records; confidentiality TITLE 9Commerce and TradePART VIILandlord and TenantCHAPTER 150. SECURITIES ACTSubchapter VI. Administration and Judicial Review
§ 5607. Public records; confidentiality
(a) Except as otherwise provided in subsection (b) of this section, records obtained by the commissioner 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.
(b) The following records are not public records and are not available for public examination under subsection (a) of this section:
(1) a record obtained by the commissioner in connection with an audit or inspection under subsection 5411(d) of this chapter or an investigation under section 5602 of this chapter;
(2) a part of a record filed in connection with a registration statement under sections 5301 and 5303 through 5305 of this chapter or a record under subsection 5411(d) of this chapter 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;
(3) a record that is not required to be provided to the commissioner or filed under this chapter and is provided to the commissioner only on the condition that the record will not be subject to public examination or disclosure;
(4) a nonpublic record received from a person specified in subsection 5608(a) of this chapter;
(5) 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;
(6) a record obtained by the commissioner through a designee of the commissioner that a rule or order under this chapter 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 the commissioner finds the determination to be in the public interest and for the protection of investors; and
(7) records otherwise exempt from public disclosure pursuant to 1 V.S.A. § 317(c).
(c) If disclosure is for the purpose of a civil, administrative, or criminal investigation, action, or proceeding or to a person specified in subsection 5608(a) of this chapter, the commissioner may disclose a record obtained in connection with an audit or inspection under subsection 5411(d) of this chapter or a record obtained in connection with an investigation under section 5602 of this chapter. (Added 2005, No. 11, § 1, eff. July 1, 2006.)
