§ 230.122Non-disclosure of information obtained in the course of examinations and
Information or documents obtained by officers or employees of the Commission in the course of any examination or investigation
pursuant to section 8(e) or 20(a) (48 Stat. 80, 86; 15 U.S.C. 77h(e), 77t(a)) shall, unless made a matter of public record, be
deemed confidential. Except as provided by 17 CFR 203.2,
officers and employees are hereby prohibited from making such
confidential information or documents or any other non-public records of the
Commission available to anyone other than a
member, officer or employee of the Commission, unless the Commission or the General Counsel, pursuant to delegated
authority, authorizes the disclosure of such information or the production of
such documents as not being contrary to the public interest. Any officer or employee who is served with a subpoena requiring the
disclosure of such information or the production of such documents shall appear
in court and, unless the authorization described in the preceding sentence shall
have been given, shall respectfully decline to disclose the information or
produce the documents called for, basing his or her refusal upon this section.
Any officer or employee who is served with such a subpoena shall
promptly advise the General Counsel of the
service of such subpoena, the nature of the information or documents sought, and
any circumstances which may bear on the desirability of making available such
information or documents.
[44 FR 50836, Aug. 30, 1979, as amended at 53 FR 17459, May 17, 1988; 54 FR
33501, Aug. 15, 1989; 76 FR 71876, Nov.
Title 17 published on 2015-04-01.
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