§ 201.120 Ex parte communications.
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Title 17 CFR: Commodity and Securities Exchanges › Chapter II: SECURITIES AND EXCHANGE COMMISSION › Part 201: RULES OF PRACTICE › Subpart D: Rules of Practice › § 201.120: § 201.120 Ex parte communications.
Text
(a) Except to the extent required for the disposition of
ex parte
matters as authorized by law, the person presiding over an evidentiary hearing may not:
(1) Consult a person or party on a fact in issue, unless on notice and opportunity for all parties to participate; or
(2) Be responsible to or subject to the supervision or direction of an employee or agent engaged in the performance of investigative or prosecuting functions for the Commission.
(b) The Commission's code of behavior regarding
ex parte
communications between persons outside the Commission and decisional employees, 17 CFR 200.110 through 200.114, governs other prohibited communications during a proceeding conducted under the Rules of Practice.
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