Administrative files and opinions

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  • (a) The Administrator shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice filings, applications for registration of broker-dealers, agents, investment advisers, and investment adviser representatives; notice filings by federal covered investment advisers that are or have been effective under this chapter; notices of claims of exemption from registration or notice filing requirements contained in a record; orders issued under this chapter; and interpretative opinions or no-action determinations issued under this chapter.

  • (b) The Administrator shall make all rules, forms, interpretative opinions, and orders available to the public.

  • (c) The Administrator shall furnish a copy of a record that is a public record or a certification that the public record does not exist to a person that so requests. A rule under this chapter may establish a reasonable charge for furnishing the record or certification. A copy of the record certified or a certificate of its nonexistence by the Administrator is prima facie evidence of a record or its nonexistence.


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