General Rules and Regulations
promulgated
under the
Securities Act of 1933
Rule 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)
or20(a) shall, unless made a matter of public
record, be deemed confidential. Except as provided by 17 CFR part 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.
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