# 17 C.F.R. § 240.0-4 (2026): Nondisclosure of information obtained in examinations and investigations

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_4

## Section

- **Citation:** 17 C.F.R. § 240.0-4 (2026)
- **Heading:** Nondisclosure of information obtained in examinations and investigations
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter II: SECURITIES AND EXCHANGE COMMISSION / Part 240: GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934 / Subpart A: Rules and Regulations Under the Securities Exchange Act of 1934 / § 240.0-4: § 240.0-4   Nondisclosure of information obtained in examinations and investigations.

## Text

Information or documents obtained by officers or employees of the Commission in the course of any examination or investigation pursuant to section 17(a) (48 Stat. 897, section 4, 49 Stat. 1379; 15 U.S.C. 78q(a)) or 21(a) (48 Stat. 899; 15 U.S.C. 78u(a)) shall, unless made a matter of public record, be deemed confidential. Except as provided by 17 CFR 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.
[44 FR 50836, Aug. 30, 1979, as amended at 53 FR 17459, May 17, 1988; 76 FR 71876, Nov. 21, 2011]

## Nearby sections

- [17 C.F.R. § 240.0-1 (2026) § 240.0-1   Definitions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_1.md)
- [17 C.F.R. § 240.0-2 (2026) § 240.0-2   Business hours of the Commission.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_2.md)
- [17 C.F.R. § 240.0-4 (2026) § 240.0-4   Nondisclosure of information obtained in examinations and investigations.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_4.md)
- [17 C.F.R. § 240.0-5 (2026) § 240.0-5   Reference to rule by obsolete designation.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_5.md)
- [17 C.F.R. § 240.0-6 (2026) § 240.0-6   Disclosure detrimental to the national defense or foreign policy.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_6.md)
- [17 C.F.R. § 240.0-8 (2026) § 240.0-8   Application of rules to registered broker-dealers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_8.md)
- [17 C.F.R. § 240.0-10 (2026) § 240.0-10   Small entities under the Securities Exchange Act for purposes of the Regulatory Flexibility Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_10.md)
- [17 C.F.R. § 240.0-12 (2026) § 240.0-12   Commission procedures for filing applications for orders for exemptive relief under Section 36 of the Exchange Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_12.md)
- [17 C.F.R. § 240.0-13 (2026) § 240.0-13   Commission procedures for filing applications to request a substituted compliance or listed jurisdiction order under the Exchange Act.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_13.md)
- [17 C.F.R. § 240.3a4-1 (2026) § 240.3a4-1   Associated persons of an issuer deemed not to be brokers.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a4_1.md)
- [17 C.F.R. § 240.3a5-2 (2026) § 240.3a5-2   Exemption from the definition of “dealer” for banks effecting transactions in securities issued pursuant to Regulation S.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a5_2.md)
- [17 C.F.R. § 240.3a5-3 (2026) § 240.3a5-3   Exemption from the definition of “dealer” for banks engaging in securities lending transactions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a5_3.md)
- [17 C.F.R. § 240.3a11-1 (2026) § 240.3a11-1   Definition of the term “equity security.”](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a11_1.md)
- [17 C.F.R. § 240.3a12-1 (2026) § 240.3a12-1   Exemption of certain mortgages and interests in mortgages.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_3a12_1.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P240_S240_0_4. Check the current official text before relying on it. Not legal advice.