Source: https://www.law.cornell.edu/cfr/text/17/230.122?qt-cfr_tabs=2
Timestamp: 2016-02-08 14:50:29
Document Index: 150891722

Matched Legal Cases: ['art 230', '§ 230', '§ 230', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 77', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 78', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80', '§ 80']

17 CFR 230.122 - Non-disclosure of information obtained in the course of examinations and investigations. | US Law | LII / Legal Information Institute
CFR › Title 17 › Chapter II › Part 230 › Section 230.122 17 CFR 230.122 - Non-disclosure of information obtained in the course of examinations and investigations.
§ 230.122
Non-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.
21, 2011]
§ 230.122 Non-disclosure of information obtained in the course of examinations and investigations.
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. 21, 2011] This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeU.S. Code: Title 15 - COMMERCE AND TRADE§ 77b - Definitions; promotion of efficiency, competition, and capital formation§ 77b note - Definitions; promotion of efficiency, competition, and capital formation§ 77c - Classes of securities under this subchapter§ 77d - Exempted transactions§ 77d note - Exempted transactions§ 77f - Registration of securities§ 77g - Information required in registration statement§ 77h - Taking effect of registration statements and amendments thereto§ 77j - Information required in prospectus§ 77r - Exemption from State regulation of securities offerings§ 77s - Special powers of Commission§ 77z-3§ 77sss - Rules, regulations, and orders§ 78c - Definitions and application§ 78d - Securities and Exchange Commission§ 78j - Manipulative and deceptive devices§ 78l - Registration requirements for securities§ 78m - Periodical and other reports§ 78n - Proxies§ 78o - Registration and regulation of brokers and dealers§ 78t - Liability of controlling persons and persons who aid and abet violations§ 78w - Rules, regulations, and orders; annual reports§ 78ll - Requirements for the EDGAR system§ 78mm - General exemptive authority§ 78o-7 note§ 80a-8§ 80a-24§ 80a-28§ 80a-29§ 80a-30§ 80a-37