Rule 590-4-1-.07 - Confidentiality(1) All investigations and investigative proceedings shall be private, unless the Commissioner determines that the protection of the public requires that all or part of an investigation or investigative proceeding be made public.(2) Any securities agency or law enforcement agency receiving information or documents pursuant to Code Section 10-5-77 must make the representation required by that Code Section in the form of an access letter. The access letter shall be addressed to the Commissioner and signed by someone at the requesting agency in a position to guarantee the aforementioned representation. Access letters and the Commissioner's response shall be deemed part of an investigative file and shall be confidential.(3) The Commissioner may disclose information or documents obtained in connection with an investigation under the Act to the extent provided in the Act and these Rules. The Commissioner may further disclose such information if disclosure is for the purpose of a civil, administrative, or criminal investigation or proceeding. Any securities agency 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.(4) Notices, administrative orders and public notices and investor alerts issued by the Commissioner shall constitute public information under the Act and these Rules.Ga. Comp. R. & Regs. R. 590-4-1-.07
O.C.G.A. Secs. 10-5-10, 10-5-11, 10-5-70, 10-5-71, 10-5-76, 10-5-77.
Original Rule entitled "Confidentiality of Investigations" adopted. F. Apr. 13, 1983; eff. May 3, 1983.Amended: Authority changed. F. Feb. 24, 1987; eff. Mar. 16, 1987.Repealed: New Rule entitled "Confidentiality" adopted. F. Dec. 21, 2004; eff. Jan. 10, 2005. Repealed: New Rule of the same title adopted. F. Nov. 18, 2011; eff. Dec. 8, 2011.