C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 240—GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934

17 C.F.R. § 240.21F-17

Staff communications with individuals reporting possible securities law violations

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(a) No person may take any action to impede an individual from communicating directly with the Commission staff about a possible securities law violation, including enforcing, or threatening to enforce, a confidentiality agreement (other than agreements dealing with information covered by § 240.21F-4(b)(4)(i) and § 240.21F-4(b)(4)(ii) of this chapter related to the legal representation of a client) with respect to such communications.

(b) If you are a director, officer, member, agent, or employee of an entity that has counsel, and you have initiated communication with the Commission relating to a possible securities law violation, the staff is authorized to communicate directly with you regarding the possible securities law violation without seeking the consent of the entity's counsel.

Notes of Decisions
Cited in 1 case (1 in the last 5 years), 2023–2023 · leading case: Sec. & Exch. Comm'n v. Vaccarelli (D. Conn. 2023).
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Sec. & Exch. Comm'n v. Vaccarelli (D. Conn. 2023). “§§ 77q(a)(3)]; and (5) Rule 21F-17(a) of the Exchange Act [17 C.F.R.§ 240.21F-17(a)]. See Compl. ¶¶ 51–65.”
— 17 C.F.R. § 240.21F-17(a) — 1 case
Sec. & Exch. Comm'n v. Vaccarelli (D. Conn. 2023). “§§ 77q(a)(3)]; and (5) Rule 21F-17(a) of the Exchange Act [17 C.F.R.§ 240.21F-17(a)]. See Compl. ¶¶ 51–65.”
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