Authority: IC 23-19-6-5

Affected: IC 23-19-4-11; IC 23-19-6-2

Sec. 1. All records of the division shall be available for public inspection at the office of the division during business hours, except the following that shall not be made public:

1. (1) Records relating to complaints made to the division and records relating to investigations of the division.

2. (2) Information or documents obtained by the officers or employees of the division in the course of any examination or investigation under IC 23-19-6-2(a) and compliance reports filed under IC 23-19-4-11(g) shall, unless made a matter of public record, be deemed confidential. Officers and employees of the division shall not make the confidential information or documents available to anyone other than a member, an officer, or an employee of:

   1. (A) the secretary of state's office;
   2. (B) the division; or
   3. (C) any other regulatory or law enforcement agency;
3. unless the secretary of state or commissioner authorized the disclosure of the information or the production of the documents as not being contrary to the public interest.

(Securities Division; 710 IAC 4-13-1; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA; readopted filed Nov 30, 2022, 4:01 p.m.: 20221228-IR- 710220301RFA)