LD 509
pg. 163
Page 162 of 183 An Act To Adopt the Maine Uniform Securities Act Page 164 of 183
Download Bill Text
LR 441
Item 1

 
unless used as a business telephone number contained in a
record that is filed;

 
F.__A record obtained by the administrator through a
designee of the administrator that, pursuant to a routine
technical rule, as defined in Title 5, chapter 375,
subchapter 2-A, or an order under this chapter, has been:

 
(1)__Expunged from the administrator's records by the
designee; or

 
(2)__Determined to be nonpublic or nondisclosable by
that designee if the administrator finds the
determination to be in the public interest and for the
protection of investors;

 
G.__Records to the extent that they relate solely to the
administrator's internal personnel rules and practices,
including, but not limited to, protocols, guidelines,
manuals and memoranda of procedure for employees of the
Office of Securities;

 
H.__ Interagency or intra-agency memoranda or letters,
including generally records that reflect discussions between
or consideration by the administrator and employees of the
Office of Securities of any action taken or proposed to be
taken by the administrator or employees of the Office of
Securities, including, but not limited to, reports,
summaries, analyses, conclusions or other work product of
the administrator or employees of the Office of Securities,
except those that by law would routinely be discoverable in
litigation; and

 
I.__ Records to the extent that disclosure could reasonably
be expected to constitute an unwarranted invasion of
personal privacy.

 
3.__Administrator discretion to disclose.__If disclosure is
for the purpose of a civil, administrative or criminal
investigation, action or proceeding or to a person specified in
section 16608, subsection 1, the administrator may disclose a
record obtained in connection with an audit or inspection under
section 16411, subsection 4 or a record obtained in connection
with an investigation under section 16602.__Prior to disclosure
to a person specified in section 16608, subsection 1, the
administrator may require the requesting agency to certify that
under applicable law reasonable protections exist to preserve the
integrity, confidentiality and security of the information
comparable to the protections existing under the laws of this
State.


Page 162 of 183 Top of Page Page 164 of 183