6 Del. Admin. Code § 200-C-302

Current through Reigster Vol. 28, No. 6, December 1, 2024

Section 200-C-302 - Information Obtained in Investigations

(a) Information or documents obtained by the Unit in the course of any investigation or examination, unless made a matter of public record, shall be deemed non-public.

(b) The Director may in his or her discretion and upon a showing that such information is needed, provide nonpublic information in the Unit's possession to any of the following persons if the person receiving such nonpublic information provides such assurances of confidentiality as the Director deems appropriate:

(1) A federal, state, local or foreign government or any political subdivision, authority, agency or instrumentality of such government;

(2) A self-regulatory organization as defined in Section 3(a)(26) of the Securities Exchange Act of 1934 ( 15 U.S.C. § 78, et seq.) (the "Exchange Act"), or any similar organization empowered with self-regulatory responsibilities under the federal securities laws (as defined in Section 3(a)(47) of the Exchange Act), the Commodity Exchange Act (7 U.S.C. 1, et seq.) or any substantially equivalent foreign statute or regulation;

(3) A foreign financial regulatory authority as defined in Section 3(a)(52) of the Exchange Act;

(4) The Securities Investor Protection Corporation or any trustee or counsel for a trustee appointed pursuant to Section 5(b) of the Securities Investor Protection Act of 1970;

(5) A trustee in bankruptcy;

(6) A bar association, state accountancy board or other federal, state, local or foreign licensing or oversight authority, or a professional association or self-regulatory authority to the extent that it performs similar functions; or

(7) A duly authorized agent, employee or representative of any of the above persons.

(c) Nothing contained in this Rule shall affect:

(1) The Director's authority or discretion to provide or refuse to provide access to, or copies of, nonpublic information in the Unit's possession in accordance with such other authority or discretion as the Director possesses by statute, or rule ; or

(2) The Director's responsibilities under the Freedom of Information Act, 29 Del.C. § 10001 et seq.

6 Del. Admin. Code § 200-C-302

18 DE Reg. 394 (11/1/2014) (Final)