# 17 CFR § 201.231: Enforcement and disciplinary proceedings: Production of witness statements

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-201.231

## Section

- **Citation:** 17 CFR § 201.231
- **Heading:** Enforcement and disciplinary proceedings: Production of witness statements
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 201—RULES OF PRACTICE > Subpart D—Rules of Practice > Initiation of Proceedings and Prehearing Rules

## Text

(a) Availability. Any respondent in an enforcement or disciplinary proceeding may move that the Division of Enforcement produce for inspection and copying any statement of any person called or to be called as a witness by the Division of Enforcement that pertains, or is expected to pertain, to his or her direct testimony and that would be required to be produced pursuant to the Jencks Act, 18 U.S.C. 3500. For purposes of this section, statement shall have the meaning set forth in 18 U.S.C. 3500(e). Such production shall be made at a time and place fixed by the hearing officer and shall be made available to any party, provided, however, that the production shall be made under conditions intended to preserve the items to be inspected or copied.
(b) Failure to produce—harmless error. In the event that a statement required to be made available for inspection and copying by a respondent is not turned over by the Division of Enforcement, no rehearing or redecision of a proceeding already heard or decided shall be required unless the respondent establishes that the failure to turn over the statement was not harmless error.
[60 FR 32796, June 23, 1995, as amended at 69 FR 13177, Mar. 19, 2004]

## Nearby sections

- [17 CFR § 201.100 § 201.100 Scope of the rules of practice.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.100.md)
- [17 CFR § 201.101 § 201.101 Definitions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.101.md)
- [17 CFR § 201.102 § 201.102 Appearance and practice before the Commission.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.102.md)
- [17 CFR § 201.103 § 201.103 Construction of rules.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.103.md)
- [17 CFR § 201.104 § 201.104 Business hours.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.104.md)
- [17 CFR § 201.110 § 201.110 Presiding officer.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.110.md)
- [17 CFR § 201.111 § 201.111 Hearing officer: Authority.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.111.md)
- [17 CFR § 201.112 § 201.112 Hearing officer: Disqualification and withdrawal.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.112.md)
- [17 CFR § 201.120 § 201.120 Ex parte communications.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.120.md)
- [17 CFR § 201.121 § 201.121 Separation of functions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.121.md)
- [17 CFR § 201.140 § 201.140 Commission orders and decisions: Signature and availability.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.140.md)
- [17 CFR § 201.141 § 201.141 Orders and decisions: Service of orders instituting proceedings and other orders and decisions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.141.md)
- [17 CFR § 201.150 § 201.150 Service of papers by parties.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.150.md)
- [17 CFR § 201.151 § 201.151 Filing of papers with the Commission: Procedure.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.151.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-201.231. Check the current official text before relying on it. Not legal advice.