§ 1-607. Public records--Confidentiality
Oklahoma Statutes AnnotatedTitle 71. SecuritiesEffective: November 1, 2022
Effective: November 1, 2022
71 Okl.St.Ann. § 1-607
§ 1-607. Public records--Confidentiality
A. Except as otherwise provided in subsection B of this section, records obtained by the Administrator or filed under this act,1 including a record contained in or filed with a registration statement, application, notice filing, or report, are public records and are available for public examination.
2. A part of a record filed in connection with a registration statement under Sections 1-301 and 1-303 through 1-305 of this title or a record obtained under subsection K of Section 1-305 or subsection D of Section 1-410 of this title that contains trade secrets or confidential information if the person filing the registration statement or providing the record has asserted a claim of confidentiality or privilege that is authorized by law;
8. Any records concerning a participant in the Department's investor education program that would be individual student records or communications subject to the protections of Section 24A.16 of Title 51 of the Oklahoma Statutes or the Family Educational Rights and Privacy Act2 unless authorized for release by the parent or guardian of the participant or by the participant if he or she is eighteen (18) years of age or older.
C. If disclosure is for the purpose of a civil or administrative investigation, action, or proceeding brought by the Administrator or a criminal referral made by the Administrator or to a person specified in subsection A of Section 1-608 of this title, the Administrator may disclose a record obtained in connection with an audit or inspection under subsection K of Section 1-305 of this title or subsection D of Section 1-410 of this title or a record obtained or created in connection with an investigation under Section 1-602 of this title so long as the receiving person specified in subsection A of Section 1-608 of this title provides assurances to undertake such safeguards as are necessary and appropriate to protect the confidentiality of files to which access is granted and information derived therefrom.
Credits
Laws 2003, c. 347, § 45, eff. July 1, 2004; Laws 2022, c. 77, § 38, eff. Nov. 1, 2022.
<The Oklahoma Uniform Securities Act of 2004, incorporated in this title as §§ 1-101 to 1-701, was enacted by Laws 2003, c. 347, effective July 1, 2004. See transitional provisions in § 1-701 of this title.>
<The Oklahoma Securities Act, consisting of §§ 1 et seq., 201 et seq., 301 et seq., 401 et seq., and 501; and §§ 701 to 703, of Title 71, was repealed by Laws 2003, c. 347, § 53, effective July 1, 2004.>
<For disposition of the subject matter of the repealed sections to the Oklahoma Securities Act of 2004, see the Disposition Table, post.>
71 Okl. St. Ann. § 1-607, OK ST T. 71 § 1-607
Current with emergency effective legislation through Chapter 125 of the Second Regular Session of the 59th Legislature (2024). Some sections may be more current, see credits for details.
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