Indiana § 23-19-6-7 Public records; inspection and copying; confidential records

Indiana Statutes

§ 23-19-6-7 — Public records; inspection and copying; confidential records

Indiana·Title 23 BUSINESS AND OTHER ASSOCIATIONS·Art. 19 INDIANA UNIFORM SECURITIES ACT·Ch. 6 Administration and Judicial Review

(a)Except as otherwise provided in subsection

(b), records obtained by the commissioner or filed under this article, including a record contained in or filed with a registration statement, application, notice filing, or report, are public records and are available for inspection and copying.

(b)The following records are confidential and are not available for public inspection and copying under subsection (a):

(1)A record obtained by the commissioner in connection with an audit or inspection under IC 23-19-4-11(d) or an investigation under section 2 of this chapter.

(2)A part of a record filed in connection with a registration statement under IC 23-19-3-1 and IC 23-19-3-3 through IC 23-19-3-5 or a record under IC 23-19-4-11(d) that contains trade secrets or confidential information if t

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(a) Except as otherwise provided in subsection
(b), records obtained by the commissioner or filed under this article,
including a record contained in or filed with a registration statement,
application, notice filing, or report, are public records and are available
for inspection and copying.
(b) The following records are confidential and are not available for
public inspection and copying under subsection (a):
(1) A record obtained by the commissioner in connection with an
audit or inspection under IC 23-19-4-11(d) or an investigation
under section 2 of this chapter.
(2) A part of a record filed in connection with a registration
statement under IC 23-19-3-1 and IC 23-19-3-3 through IC 23-19-3-5 or a record under IC 23-19-4-11(d) 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 and approved
by the commissioner.
(3) A record that is not required to be provided to the
commissioner or filed under this article and is provided to the
commissioner only on the condition that the record will not be
subject to public examination or disclosure.
(4) Confidential records received from a person specified in
section 8(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 article determines
has been:
(A) expunged from the commissioner's records by the designee;
or
(B) determined to be confidential by that designee if the
commissioner finds the determination to be based on statutory
authority.
(c) If disclosure is for the purpose of a civil, administrative, or
criminal investigation, action, or proceeding or to a person specified in
section 8(a) of this chapter, the commissioner may disclose a record
obtained in connection with an audit or inspection under IC 23-19-4-11(d) or a record obtained in connection with an investigation
under section 2 of this chapter.

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