502.607 - PUBLIC RECORDS -- CONFIDENTIALITY.

        502.607  PUBLIC RECORDS -- CONFIDENTIALITY.         1.  Presumption of public records.  Except as otherwise      provided in subsection 2, records obtained by the administrator 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.         2.  Nonpublic records.  Notwithstanding chapter 22, the      following records are not public records and are not available for      public examination under subsection 1:         a.  A record obtained by the administrator in connection with      an audit or inspection under section 502.411, subsection 4, or an      investigation under section 502.602.         b.  A part of a record filed in connection with a registration      statement under sections 502.301 and 502.303 through 502.305 or a      record under section 502.411, subsection 4, 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.         c.  A record that is not required to be provided to the      administrator or filed under this chapter and is provided to the      administrator only on the condition that the record will not be      subject to public examination or disclosure.         d.  A nonpublic record received from a person specified in      section 502.608, subsection 1.         e.  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.         f.  A record obtained by the administrator through a designee      that the administrator determines by rule or order has been      appropriately expunged from its own records by that designee, if the      administrator finds that such expungement is in the public interest      and does not impair investor protection.         3.  Administrator discretion to disclose.  If disclosure is      for the purpose of a civil, administrative, or criminal      investigation, action, or proceeding or to a person specified in      section 502.608, subsection 1, the administrator may disclose a      record obtained in connection with an audit or inspection under      section 502.411, subsection 4, or a record obtained in connection      with an investigation under section 502.602.  
         Section History: Early Form
         [C35, § 8581-f6; C39, § 8581.22; C46, 50, 54, 58, 62, §      502.22; C66, 71, 73, 75, § 502.2, 502.22; C77, 79, 81, § 502.607] 
         Section History: Recent Form
         97 Acts, ch 114, §16; 2004 Acts, ch 1161, §57, 68         Referred to in § 22.7, 502.601, 502.602, 502.608