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Chapter 409

previous next Effective - 01 Sep 2003, see footnotebottom

  409.6-606.  Administrative files and opinions. — (a)  The commissioner shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice filings; applications for registration of broker-dealers, agents, investment advisers, and investment adviser representatives; notice filings by federal covered investment advisers that are or have been effective under this act or the predecessor act; notices of claims of exemption from registration or notice filing requirements contained in a record; orders issued under this act or the predecessor act; and interpretative opinions or no action determinations issued under this act.

  (b)  The commissioner shall make all rules, forms, interpretative opinions, and orders available to the public.

  (c)  The commissioner shall furnish a copy of a record that is a public record or a certification that the public record does not exist to a person that so requests.  A rule adopted under this act may establish a reasonable charge for furnishing the record or certification.  A copy of the record certified or a certificate by the commissioner of a record's nonexistence is prima facie evidence of a record or its nonexistence.


(L. 2003 H.B. 380)

Effective 9-01-03

---- end of effective   01 Sep 2003 ----

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