§ 5606.
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/vt/title-9/chapter-150/5606A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
§ 5606. 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 chapter or the predecessor act; notices of claims of exemption from registration or notice filing requirements contained in a record; orders issued under this chapter or the predecessor act; and interpretative opinions or no action determinations issued under this chapter.
(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 chapter 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. (Added 2005, No. 11, § 1, eff. July 1, 2006.)