§ 51:737 — Records

§737. Records
A. A dealer or investment advisor shall provide access to or copies of records that
are relevant to the suspected or attempted financial exploitation of an eligible adult to an
adult protection agency, commissioner of securities, and to law enforcement, either as part
of a referral to the agency or to law enforcement, or upon request of the agency or law
enforcement pursuant to an investigation.
B. The records may include historical records as well as records relating to the most
recent transaction or transactions that may comprise financial exploitation of an eligible
adult.
C. All records made available under this Section shall be kept strictly confidential
under applicable statutory authority of the commissioner of securities or adult protection
agency.
D. Nothing in this Section shall limit or otherwise impede the authority of the
commissioner of securities to access or examine the books and records of dealers and
investment advisors as otherwise provided by law.

Legislative History

Acts 2016, No. 580, §1, eff. Jan. 1, 2017.