LD 509
pg. 80
Page 79 of 94 PUBLIC Law Chapter 65 Page 81 of 94
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LR 441
Item 1

 
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.

 
4.__Public disclosure for enforcement purposes.__The
administrator may disclose to the public any information obtained
in connection with an investigation that would otherwise be
nonpublic information, but only if the administrator determines
that disclosure is necessary for the protection of investors or
the public.

 
§16608.__Uniformity and cooperation with other agencies

 
1.__Objective of uniformity and cooperation.__The
administrator may, in the administrator's discretion, cooperate,
coordinate, consult and, subject to section 16607, share records
and information with the securities regulator of another state,
Canada, a Canadian province or territory, a foreign jurisdiction,
the Securities and Exchange Commission, the United States


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