TITLE 30

CORPORATIONS

CHAPTER 14

UNIFORM SECURITIES ACT (2004)

PART 6.

ADMINISTRATION AND JUDICIAL REVIEW

30-14-606.  Administrative files and opinions. (a) Public register of filings. The administrator shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice filings; applications for registration of broker-dealers, agents, investment advisers, and investment adviser representatives; notice filings by federal covered investment advisers that are or have been effective under this chapter or the predecessor act; notices of claims of exemption from registration or notice filing requirements contained in a record; orders issued under this chapter or the predecessor act; and interpretative opinions or no action determinations issued under this chapter.

(b)  Public availability. The administrator shall make all rules, forms, interpretative opinions, and orders available to the public.

(c)  Copies of public records. The administrator shall furnish a copy of a record that is a public record or a certification that the public record does not exist to a person that so requests. A rule adopted under this chapter may establish a reasonable charge for furnishing the record or certification. A copy of the record certified or a certificate by the administrator of a record’s nonexistence is prima facie evidence of a record or its nonexistence.

History:

[30-14-606, added 2004, ch. 45, sec. 2, p. 221.]