Maine § 16607. - Public records; confidentiality
Full text of Maine Maine Revised Statutes § 16607. — Public records; confidentiality, with citation guidance and answers to common questions.
§ 16607.. Public records; confidentiality
1. Presumption of public records. Except as otherwise provided in subsection 2, records obtained by the administrator or filed under this chapter, including a record contained in or filed with a registration statement, application, notice filing or report, are public records and are available for public examination in accordance with Title 1, chapter 13, subchapter 1.
2. Confidential records. The following records are confidential:
A. A record obtained by the administrator in connection with an audit or inspection under section 16411, subsection 4 or an investigation under section 16602; [PL 2005, c. 65, Pt. A, §2 (NEW).]
B. A part of a record filed in connection with a registration statement under section 16301 and sections 16303 to 16305 or a record under section 16411, subsection 4 that contains trade secrets or confidential information if the person filing the registration statement or report has asserted a claim of confidentiality or privilege that is authorized by law; [PL 2005, c. 65, Pt. A, §2 (NEW).]
C. A record that is not required to be provided to the administrator or filed under this chapter and is provided to the administrator only on the condition that the record is confidential; [PL 2025, c. 111, §14 (AMD).]
D. A record received from a person specified in section 16608, subsection 1 that has been designated as confidential by the agency furnishing the record; [PL 2005, c. 65, Pt. A, §2 (NEW).]
E. Any social security number, residential address unless used as a business address and residential telephone number unless used as a business telephone number contained in a record that is filed; [PL 2005, c. 65, Pt. A, §2 (NEW).]
F. A record obtained by the administrator through a designee of the administrator that, pursuant to a routine technical rule, as defined in Title 5, chapter 375, subchapter 2‑A, or an order under this chapter, has been:
(2) Determined to be nonpublic or nondisclosable by that designee if the administrator finds the determination to be in the public interest and for the protection of investors; [PL 2005, c. 65, Pt. A, §2 (NEW).]
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; [PL 2005, c. 65, Pt. A, §2 (NEW).]
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 [PL 2005, c. 65, Pt. A, §2 (NEW).]
I. Records to the extent that disclosure could reasonably be expected to constitute an unwarranted invasion of personal privacy. [PL 2005, c. 65, Pt. A, §2 (NEW).]
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.
Source: official Maine text · Last verified 2026-08-27
Frequently Asked Questions About Maine § 16607.
What does Maine Revised Statutes § 16607. cover?
Section 16607. ("Public records; confidentiality") is part of the Maine Revised Statutes, the codified statutory law of Maine. It sets out the legal rule or procedure described in the text above. Statutes are amended regularly, so always verify against the official source.
How do I cite Maine § 16607.?
A common citation format is "Maine Revised Statutes § 16607." (Maine). Legal writing may require the code abbreviation, section number, and year or edition. Match the style required by your court, professor, or publisher.
Is this the official text of Maine law?
No. This page is for research and education and may not include the most recent amendments. For official current law, check the Maine official source linked on this page or consult a licensed Maine attorney.
How does Maine § 16607. apply to my situation?
Statutes are interpreted in context, and application depends on your specific facts. Only a licensed attorney in Maine can advise on how this section applies to you. Contact your state or local bar association for a referral.
Sources & Verification
Not legal advice. Verify against the official source and consult a licensed attorney in Maine.