17 C.F.R. § 203.5
Non-public formal investigative proceedings
Unless otherwise ordered by the Commission, all formal investigative proceedings shall be non-public.
Notes of Decisions
Cited in 8
cases (1 in the last 5 years), 1969–2021 · leading case: Cochran v. SEC, 20 F.4th 194 (5th Cir. 2021).
Cochran v. SEC, 20 F.4th 194 (5th Cir. 2021). “17 C.F.R. § 203.5 . 56 Case: 19-10396 Document: 00516128227 Page: 57 Date Filed: 12/13/2021 No.”
Sec. & Exch. Comm'n v. Jerry T. O'Brien, Inc., 467 U.S. 735 (1984). “” 17 CFR §203.5 (1983). In other words, the Commission has formally adopted the policy of not routinely informing anyone, including targets, of the existence and progress of its investigations.”
EF Hutton & Co. v. Brown, 305 F. Supp. 371 (S.D. Tex. 1969). “***** § 203.7 Rights of witnesses. (a) * * *.”
In re Dom. Air Transp. Antitrust Litig., 142 F.R.D. 354 (N.D. Ga. 1992). “See 17 C.F.R. §§ 203.5 & 203.7(b). Under SEC regulations, the witness is the only person entitled to receive a copy of his testimony and depositions are deemed non-public.”
Sec. & Exch. Comm'n v. W. L. Moody & Co., Bankers (Unincorporated), 374 F. Supp. 465 (S.D. Tex. 1974). “All pending matters are now ready for final disposition. II. Review of the Receivership A. Events Preceding Appointment of Receiver.”
Pensacola Firefighters' Relief Pension Fund Bd. of Trs. v. Merrill Lynch Pierce Fenner & Smith, Inc., 265 F.R.D. 589 (N.D. Fla. 2010). “17 C.F.R. §§ 203.5 ; 202.5(a). Therefore, argues defendant, the mere fact that a document has been produced to the SEC does not automatically render it a public record with respect to which any assertion of privilege has been waived.”
Matter of Apex Fund Servs. (US), Inc. v. Maffei, 2020 NY Slip Op 2739 (N.Y. App. Div. 2020). “Further, quashing the subpoena is justified by the fact that the requested information is subject to some expectation of confidentiality ( see 17 CFR 203.5 ["Unless otherwise ordered by the Commission, all formal investigative proceedings shall be non-public"]; compare…”
Sec. & Exch. Comm'n v. Pac. Bell, 704 F. Supp. 11 (D.D.C. 1989). “Both the Securities Act of 1933 and the Securities Exchange Act of 1934 give the Commission the ability “to make such rules and regulations as may be necessary to implement [their] provisions .”
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