Title 10, Chapter 5A, Section 25
( 10-5A-25)
(a) To encourage uniform application and interpretation of this
chapter and securities regulation and enforcement in general, the
Commissioner and the employees of the Commissioner may cooperate,
including bearing the expense of the cooperation, with the
securities agencies or administrator of another jurisdiction,
Canadian province or territory, or such other agencies administering
laws similar to this chapter, the Commodity Futures Trading
Commission, the Securities and Exchange Commission, any
self-regulatory organization established under the Commodity
Exchange Act or the Securities Exchange Act of 1934, any national or
international organization of commodities or securities officials or
agencies, and any governmental law enforcement agency. (b) The cooperation authorized by subsection (a) of this Code
section shall include, but need not be limited to, the following: (1) Making joint examinations or investigations; (2) Holding joint administrative hearings; (3) Filing and prosecuting joint litigation; (4) Sharing and exchanging personnel; (5) Sharing and exchanging information and documents; (6) Formulating and adopting mutual regulations, statements of
policy, guidelines, proposed statutory changes, and releases; and (7) Issuing and enforcing subpoenas at the request of the agency
administering laws similar to this chapter in another
jurisdiction, the securities agency of another jurisdiction, the
Commodity Futures Trading Commission, or the Securities and
Exchange Commission if the information sought would also be
subject to lawful subpoena for conduct occurring in this state. |