| (a) Complaints signed by investigators. Investigators
or other members of the staff, on instructions from the Commissioner,
may sign complaints before appropriate district or county attorneys
where there is sufficient evidence of a violation of the penal section
of the Act and where no complaint of such violation has been made
by any other person.
(b) Disclosure of testimony taken during an investigation.
A deposition and all information received in connection with an investigation
under §4007.053 of the Securities Act and all internal notes,
memoranda, reports, or communications made in connection with an investigation
under that section are treated as confidential by §4007.056 of
the Securities Act. The provisions in the Securities Act against disclosure
of confidential investigatory information prohibit the Commissioner
and staff from permitting a witness in an investigative proceeding
under §4007.053 to have a copy of his or her own statement, or
permitting recorders or private court reporters to be present at any
hearing or investigation. The Commissioner may not disclose confidential
investigatory information in the Commissioner's possession except
as authorized by the Securities Act and Board rule. This section may
not be interpreted to prohibit or limit the publication of rulings
or decisions of the Commissioner.
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