17 C.F.R. § 240.0-4

Nondisclosure of information obtained in examinations and investigations

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Information or documents obtained by officers or employees of the Commission in the course of any examination or investigation pursuant to section 17(a) (48 Stat. 897, section 4, 49 Stat. 1379; 15 U.S.C. 78q(a)) or 21(a) (48 Stat. 899; 15 U.S.C. 78u(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 upon the desirability of making available such information or documents.

[44 FR 50836, Aug. 30, 1979, as amended at 53 FR 17459, May 17, 1988; 76 FR 71876, Nov. 21, 2011]

Notes of Decisions

Cited in 7 cases, 1955–2013 · leading case: United States v. Alex. Brown & Sons, Inc., 169 F.R.D. 532 (S.D.N.Y. 1996).

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United States v. Alex. Brown & Sons, Inc., 169 F.R.D. 532 (S.D.N.Y. 1996). “122; 17 C.F.R. 240.0-4; 44 U.S.C. 3510(b); Shell Oil Co.”

Appeal of the United States Sec. & Exch. Comm'n, & William H. Timbers, Its Gen. Couns., From Oral & Written Orders of Dist. Judge Arthur F. Lederle, Adjudicating William H. Timbers in Contempt & Committing Him to the Custody of the United States Marshal, 226 F.2d 501 (6th Cir. 1955). “, section 230122) and Rule X-4 (17 C. F.R., section 240.0-4). Rule 122 provides: "Information or documents obtained by officers or employees of the Commission in the course of any examination or investigation * * * shall, unless made a matter of public record, be deemed…”

Willard J. Lamorte v. Hon. Walter R. Mansfield, Judge of the United States Dist. Court for the S. Dist. of New York, 438 F.2d 448 (2d Cir. 1971). “17 C.F.R. § 240.0-4 . See 17 C.F.R. § 230.”

Anwar v. Fairfield Greenwich Ltd., 297 F.R.D. 223 (S.D.N.Y. 2013). “” 17 C.F.R. § 240.0-4 . Rule 45 states more generically that any “party or attorney responsible for issuing .”

Westinghouse Elec. Corp. v. Repub. of the Philippines, 951 F.2d 1414 (3rd Cir. 1991). “17 CFR § 240.0-4 (1978). . The decisions that the district court looked to include In re Chrysler Motors Corporation Overnight Evaluation Program Litigation, 860 F.”

Sec. & Exch. Comm'n v. Caramadre, 717 F. Supp. 2d 217 (D.R.I. 2010). “See 17 C.F.R. § 240.0-4 (2009). While the regulations allow the Commission itself to authorize public disclosure of the contents of an investigation, see id.”

In re Appeal of Sec. & Exch. Comm'n ex rel. Timbers, 226 F.2d 501 (6th Cir. 1955). “, section 230122) and Rule X-4 (17 C. F. R., section 240.0-4). Rule 122 provides: “Information or documents obtained by officers or employees of the Commission in the course of any examination or investigation .”

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