46-474. Records; disclosure; exemption
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/az/title-46/46-474A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
A. A broker-dealer or investment adviser shall provide access to or copies of records that are relevant to the suspected or attempted financial exploitation of an eligible adult to adult protective services and law enforcement, either as part of a referral to adult protective services or law enforcement, or on request of adult protective services or law enforcement pursuant to an investigation. The records may include historical records and records relating to the most recent transaction or transactions that may comprise financial exploitation of an eligible adult.
All records made available to adult protective services or law enforcement under this section are not public records and are not subject to title 39, chapter 1, article 2.
B. This section does not limit or otherwise impede the authority of the corporation commission to access or examine the books and records of broker-dealers and investment advisers as otherwise provided by law.