17 C.F.R. § 203.4
Applicability of §§ 203.4 through 203.8
(a) Sections 203.4 through 203.8 shall be applicable to a witness who is sworn in a proceeding pursuant to a Commission order for investigation or examination, such proceeding being hereinafter referred to as a formal investigative proceeding.
(b) Formal investigative proceedings may be held before the Commission, before one or more of its members, or before any officer designated by it for the purpose of taking testimony of witnesses and received other evidence. The term officer conducting the investigation shall mean any of the foregoing.
Notes of Decisions
Cited in 1
case, 1977–1977 · leading case: City of Philadelphia v. Sec. & Exch. Comm'n, 434 F. Supp. 281 (E.D. Pa. 1977).
City of Philadelphia v. Sec. & Exch. Comm'n, 434 F. Supp. 281 (E.D. Pa. 1977). “5 with 17 CFR 203.4. Consequently, under Commission rules the Office at this point may merely request the City’s cooperation, and may not compel it to furnish evidence.”
Annotations are extracted automatically from the opinions in the
Syfert caselaw corpus and ranked by authority, recency, and
treatment. Dots show Syfertize treatment of the citing case itself.