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      RS 51:710.2     


§710.2.  Public records; confidentiality

A.  Notwithstanding the provisions of R.S. 6:103 and except as otherwise provided in Subsection B of this Section, records obtained by the commissioner or filed under this Part, including a record contained in or filed with a registration statement, application, notice filing, report, the Central Registration Depository or the Investment Adviser Registration Depository, are public records and are available for public inspection.

B.  The following records are not public records and are not available for public inspection under Subsection A of this Section:

(1)  A report of examination prepared by the commissioner.

(2)  A record obtained by the commissioner in connection with an examination or an investigation under this Part.

(3)  A part of a record filed in connection with a registration statement or a record 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, upon concurrence by the commissioner.

(4)  A record that is not required to be provided to the commissioner or filed under this Part and is provided to the commissioner only on the condition that the record will not be subject to public inspection or disclosure on the written request of the party supplying the record, upon concurrence by the commissioner.

(5)  A nonpublic record received from a federal securities regulatory agency, a self regulatory organization, or a state or foreign securities regulatory agency.

(6)  Any date of birth, 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.

C.  If disclosure is for the purpose of a civil, administrative, or criminal investigation, action, or proceeding or to a person specified as a state, federal or foreign securities administrator, the commissioner may disclose a record obtained in connection with an examination or investigation under this Part.

Acts 2006, No. 464, §1, eff. June 15, 2006.

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