710 IAC 4-14-2 - Information obtained during the course of investigations

Authority: IC 23-19-6-5

Affected: IC 23-19

Sec. 2.

(a) Information or documents obtained by the division in the course of any investigation, unless the information or documents are published by the division pursuant to its authority under IC 23-19, shall be deemed nonpublic. Upon the acceptance of an access request letter, the information and documents may be disclosed to the following:
(1) Representatives of domestic or foreign governmental authorities.
(2) Self-regulatory agencies.
(3) State or federal law enforcement officers.
(4) State securities law administrators.
(5) Special counsels.
(6) Trustees in bankruptcy.
(b) The division may also, to the extent necessary, disclose the information and documents in court proceedings when:
(1) ordered to do so by a court of competent jurisdiction; or
(2) appropriate in furtherance of any ongoing investigation or proceeding.


710 IAC 4-14-2
Securities Division; 710 IAC 4-14-2; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA Readopted filed 5/12/2016, 1:47 p.m.: 20160608-IR-710160136RFA

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