17 CFR 230.122 : Non-disclosure of information obtained in the course of examinations and investigations.

Information or documents obtained by or of the in the course of any examination or investigation pursuant to section 8(e) or 20(a) ( 48 Stat. 80, 86; 15 U.S.C. 77h(e), 77t(a)) shall, unless made a matter of public record, be deemed confidential. Except as provided by 17 CFR 203.2, and are hereby prohibited from making such confidential information or documents or any other non-public records of the available to anyone other than a member, or of the , unless the or the General Counsel, pursuant to delegated authority, authorizes the of such information or the production of such documents as not being contrary to the public interest. Any or who is served with a subpoena requiring the 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 or who is served with such a subpoena shall 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.