§ 73-701. Administrative files.
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/de/title-6/chapter-73-securities-act/subchapter-vii-miscellaneous-provisions/73-701·A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
(a)A document is filed when it is received by the Director or a designee as stipulated by rule or order. Other than filing fees, the Director may waive document filing requirements.
(b)The information contained in or filed with any registration statement, application, report or filing may be made available to the public under such rules as the Director prescribes.
(c)It is unlawful for the Director or any employee to use for personal benefit any information which is filed with or obtained by the Director and which is not made public. No provision of this chapter authorizes the Director or any employee to disclose any such information except among themselves or when necessary or appropriate in a proceeding or investigation under this chapter except as provided in subsection
(b)of this section above.
(d)No provision of this chapter either creates or derogates from any privilege which exists at common law or otherwise when documentary or other evidence is sought under a subpoena directed to the Director or any of the Director’s employees.