Statement of Policy Regarding Public Access to Non-Investigatory Records

Statement of Policy Regarding Public Access to Non-Investigatory Records. Any information or document contained in or filed with (1) any application for the registration of securities, (2) application or notice filing for exemption from registration of securities, (3) any notice filing for federal covered securities, (4) any application for the transaction of business as a broker-dealer, the transaction of business as an agent, the transaction of business as an investment adviser, or the transaction of business as an investment adviser representative, (5) any notice filing for federal covered investment advisers, or (6) any supplement or amendment thereto will be made available to the public for inspection and copying upon written request, except that: A. Any personal financial information, not otherwise available to the general public, filed with any such application or notice filing, or as a supplement or amendment thereto, shall not be made available to the public unless consented to in writing by the applicant or issuer, provided the applicant has filed a written request with the application or notice filing that the information not be disclosed. Any ambiguity as to what constitutes financial information in a particular application, or supplement or amendment thereto, shall be construed in favor of nondisclosure. B. Any record of a pending proceeding (not otherwise available to the general public) filed with any such application or notice filing, or as a supplement or amendment thereto, against a broker-dealer, investment adviser, federal covered investment adviser, agent, or investment adviser representative on file with the Division shall not be made available to the public unless consented to in writing by the particular broker- dealer, investment adviser, federal covered investment adviser, agent, or investment adviser representative.