(a) Except as otherwise provided in subsection (b) or chapter 92F, records obtained by the commissioner 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.
Filing: means the receipt of a record required under this chapter by the commissioner or a designee of the commissioner. See Hawaii Revised Statutes 485A-102
Person: means an individual; corporation; business trust; estate; trust; partnership; limited liability company; association; joint venture; government; governmental subdivision, agency, or instrumentality; public corporation; or any other legal or commercial entity. See Hawaii Revised Statutes 485A-102
Security: means a note; stock; treasury stock; security future; bond; debenture; evidence of indebtedness; certificate of interest or participation in a profit-sharing agreement; collateral trust certificate; preorganization certificate or subscription; transferable share; investment contract; variable annuity contract; voting trust certificate; certificate of deposit for a security; fractional undivided interest in oil, gas, or other mineral rights; put, call, straddle, option, or privilege on a security, certificate of deposit, or group or index of securities, including an interest therein or based on the value thereof; put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency; in general, an interest or instrument commonly known as a "security"; or a certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing. See Hawaii Revised Statutes 485A-102
(b) The following records are not public records and are not available for public examination under subsection (a):
(1) A record obtained by the commissioner in connection with an audit or inspection under section 485A-411(d) or an investigation under § 485A-602;(2) A part of a record filed in connection with a registration statement under §§ 485A-301 and 485A-303 to 485A-305, or a record under section 485A-411(c) 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;(3) A record that is not required to be provided to the commissioner or filed under this chapter and is provided to the commissioner only on the condition that the record will not be subject to public examination or disclosure;(4) A nonpublic record received from a person specified in section 485A-602(g);(5) 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; and(6) A record obtained by the commissioner through a designee of the commissioner that a rule or order under this chapter determines has been:
(A) Expunged from the commissioner’s records by the designe; or(B) Determined to be nonpublic or nondisclosable by that designe if the commissioner finds the determination to be in the public interest and for the protection of investors.(c) If disclosure is for the purpose of a civil, administrative, or criminal investigation, action, or proceeding or to a person specified in section 485A-602(g), the commissioner may disclose a record obtained in connection with an audit or inspection under section 485A-411(d) or a record obtained in connection with an investigation under § 485A-602.
