General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Rule 0-4 -- 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 17(a)
or 21(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 upon the desirability
of making available such information or documents.
Notice to Users: The Deskbook is made available
with the understanding that the University of Cincinnati College
of Law is not engaged in rendering legal, accounting or other professional
services. If legal advice or other expert assistance is required,
the services of a competent professional person should be sought. See Terms and Conditions of Use.
