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2021 Nebraska Revised Statutes
Chapter 8 - Banks and Banking
8-2909 - Broker-dealer; investment adviser; provide access to records; immunity.

Universal Citation:
NE Code § 8-2909 (2021)
Learn more This media-neutral citation is based on the American Association of Law Libraries Universal Citation Guide and is not necessarily the official citation.
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8-2909. Broker-dealer; investment adviser; provide access to records; immunity.

(1) A broker-dealer or investment adviser shall provide access to or copies of records that are relevant to any suspected or attempted financial exploitation of an eligible adult to (a) the Adult Protective Services Division of the Department of Health and Human Services, (b) other agencies charged with administering state adult protective services laws, and (c) law enforcement, either as part of a referral to the agencies or to law enforcement, or upon request of the agencies or law enforcement pursuant to an investigation. The records may include historical records as well as records relating to the most recent transaction or disbursement or transactions or disbursements that may comprise financial exploitation of an eligible adult.

(2) Any qualified person that, in good faith and exercising reasonable care, complies with subsection (1) of this section shall be immune from any administrative or civil liability that might otherwise arise from providing such access to records.

(3) Any records made available to agencies and law enforcement under this section shall not be considered public records subject to disclosure pursuant to sections 84-712 to 84-712.09.

(4) Nothing in this section shall limit or otherwise impede the authority of the Department of Banking and Finance to access or examine the books and records of broker-dealers and investment advisers as otherwise provided by law.

Source

  • Laws 2021, LB297, § 6.
  • Effective Date: August 28, 2021

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