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New Jersey Statutes, Title: 49, SALE OF SECURITIES
Chapter 3: Title amended; "act" defined.
Section: 49:3-89: Provision of access to records.
6. a. A broker-dealer or investment adviser shall provide access to, or copies of records that are relevant to the suspected or attempted financial exploitation of an eligible adult to agencies charged with administering State adult protective services laws and to law enforcement, either as part of a referral to the agency or to law enforcement, or upon request of the agency or law enforcement pursuant to an investigation. The records may include historical records as well as records relating to the most recent transaction or transactions that may comprise financial exploitation of an eligible adult. All records made available to agencies under this section shall not be deemed to be a public record pursuant to P.L.1963, c.73 (C.47:1A-1 et seq.) or P.L.2001, c.404 (C.47:1A-5 et seq.). Nothing in this section shall limit or otherwise impede the authority of the bureau to access or examine the books and records of broker-dealers and investment advisers as otherwise provided by law.
b. A broker-dealer or investment adviser who, in good faith and exercising reasonable care, acts in compliance with this section shall be immune from any administrative or civil liability that might otherwise arise from providing access in accordance with this section.
L.2019, c.340, s.6.
This section added to the Rutgers Database: 2020-07-07 11:44:26.
Older versions of 49:3-89 (if available):
Court decisions that cite this statute:
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