Ga. Comp. R. & Regs. R. 590-3-1-.07 - Confidentiality

(1) Except as provided in the Act and these Rules and Regulations, all information and documents filed with, or obtained by, the Secretary of State are public information and are available for public examination.

(2) The following information and documents do not constitute public information under the Act and these Rules and Regulations and shall be confidential:

(a) Information or documents obtained in connection with an investigation under Code Section 10-14-15;

(b) Documents prepared by the Secretary of State's staff in connection with an investigation under Code Section 10-14-15 including subpoenas, orders to produce records, staff reports, and reports and summaries of investigations;

(c) Information or documents filed with the Secretary of State in connection with a registration statement or exemption filing under the Act, which constitute or contain trade secrets or constitute or contain commercial or financial information, which the person is entitled to assert, and has asserted, a claim of confidentiality or privilege as authorized by law; and

(d) Any document or record specifically designated as confidential in accordance with the Act or the Rules and Regulations promulgated thereunder.

(3) All investigations and investigative proceedings shall be private, unless the Secretary of State determines that the protection of the public requires that all or part of an investigation or investigative proceeding should be made public.

(4) Any state, federal or law enforcement agency receiving information or documents pursuant to Code Section 10-14-15, must make the representation required by that Code Section in the form of an access letter. The access letter shall be addressed to the Secretary of State or his or her designee and signed by someone at the requesting agency in a position to guarantee the aforementioned representation. Access letters and the Secretary of State's response shall be deemed part of an investigative file and shall be confidential.

(5) The Secretary of State may disclose information or documents obtained in connection with an investigation under the Act to the extent provided in the Act and these Rules and Regulations. The Secretary of State may further disclose such information if disclosure is for the purpose of a civil, administrative or criminal investigation or proceeding. Any state, federal or law enforcement agency receiving such information or documents must represent that, under the applicable law, protections exist to preserve the integrity, confidentiality, and security of the information.

(6) Notices and proposed administrative orders and administrative orders issued by the Secretary of State shall constitute public information under the Act and these Rules and Regulations.

Notes

Ga. Comp. R. & Regs. R. 590-3-1-.07

O.C.G.A. Secs. 10-14-14, 10-14-15, 44-3-139.

Original Rule entitled "Confidentiality of Investigations" was filed as Emergency Rule 590-3-1-0.8-.07 on July 7, 1983; effective July 1, 1983, the date of adoption, to remain in effect for 120 days or until the effective date of a permanent Rule covering the same subject matter is adopted, as specified by the Agency. Amended: Permanent Rule of the same title adopted. Filed September 9, 1983; effective October 5, 1983, as specified by the Agency. Amended: Filed December 20, 1988; effective January 9, 1989. Repealed: New Rule, same title adopted. F. July 26, 2000; eff. August 15, 2000. Repealed: New Rule entitled "Confidentiality" adopted. F. May 19, 2005; eff. June 8, 2005.