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Department of Justice, the Commodity Futures Trading Commission, | | the Federal Trade Commission, the Securities Investor Protection | | Corporation, a self-regulatory organization, a national or | | international organization of securities regulators, a federal or | | state banking or insurance regulator or a governmental regulatory | | or law enforcement agency to, among other objectives, effectuate | | greater uniformity in securities matters among the Federal | | Government, self-regulatory organizations, states and foreign | | governments. |
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| | | 2.__Policies to consider.__In cooperating, coordinating, | | consulting and sharing records and information under this section | | and in acting by rule, order or waiver under this chapter, the | | administrator may, in the administrator's discretion, take into | | consideration in carrying out the public interest the following | | general policies: |
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| | | A.__Maximizing effectiveness of regulation for the | | protection of investors; |
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| | | B.__Maximizing uniformity in federal and state regulatory | | standards; and |
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| | | C.__Minimizing burdens on the business of capital formation | | without adversely affecting essentials of investor | | protection. |
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| | | 3.__Subjects for cooperation.__The cooperation, coordination, | | consultation and sharing of records and information authorized by | | this section includes: |
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| | | A.__Establishing or employing one or more designees as a | | central depository for licensing, registration and notice | | filings under this chapter and for records required or | | allowed to be maintained under this chapter; |
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| | | B.__Developing and maintaining uniform forms; |
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| | | C.__Conducting a joint examination or investigation; |
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| | | D.__Holding a joint administrative hearing; |
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| | | E.__Instituting and prosecuting a joint civil or | | administrative proceeding; |
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| | | F.__Sharing and exchanging personnel; |
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| | | G.__Coordinating registrations under section 16301 and | | licensing under sections 16401 to 16404 and exemptions under | | section 16203; |
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