§ 80b–10. Disclosure of information by Commission
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/usc/title-15/section-80b-10A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
The information contained in any registration application or report or amendment thereto filed with the Commission pursuant to any provision of this subchapter shall be made available to the public, unless and except insofar as the Commission, by rules and regulations upon its own motion, or by order upon application, finds that public disclosure is neither necessary nor appropriate in the public interest or for the protection of investors. Photostatic or other copies of information contained in documents filed with the Commission under this subchapter and made available to the public shall be furnished to any person at such reasonable charge and under such reasonable limitations as the Commission shall prescribe.
Subject to the provisions of subsections
(c)and
(d)of section 80b–9 of this title and section 78x(c) of this title , the Commission, or any member, officer, or employee thereof, shall not make public the fact that any examination or investigation under this subchapter is being conducted, or the results of or any facts ascertained during any such examination or investigation; and no member, officer, or employee of the Commission shall disclose to any person other than a member, officer, or employee of the Commission any information obtained as a result of any such examination or investigation except with the approval of the Commission. The provisions of this subsection shall not apply— in the case of any hearing which is public under the provisions of section 80b–12 of this title ; or in the case of a resolution or request from either House of Congress. No provision of this subchapter shall be construed to require, or to authorize the Commission to require any investment adviser engaged in rendering investment supervisory services to disclose the identity, investments, or affairs of any client of such investment adviser, except insofar as such disclosure may be necessary or appropriate in a particular proceeding or investigation having as its object the enforcement of a provision or provisions of this subchapter or for purposes of assessment of potential systemic risk. ( Aug. 22, 1940, ch. 686 , title II, § 210, 54 Stat. 854 ; Pub. L. 86–750, § 13 , Sept. 13, 1960 , 74 Stat. 887 ; Pub. L. 101–550, title II, § 202(b)(2) , Nov. 15, 1990 , 104 Stat. 2715 ; Pub. L. 111–203, title IV, § 405 , title IX, § 929I(c), July 21, 2010 , 124 Stat. 1574 , 1858; Pub. L. 111–257, § 1(c) , Oct. 5, 2010 , 124 Stat. 2646 .)
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statutes-at-large
- Public Law 104–290To amend the Federal securities laws in order to promote efficiency and capital formation in the financial markets, and to amend the Investment Company Act of 1940 to promote more efficient management of mutual funds, protect investors, and provide more effective and less burdensome regulation
- Public Law 111–203To promote the financial stability of the United States by improving accountability and transparency in the financial system, to end “too big to fail”, to protect the American taxpayer by ending bailouts, to protect consumers from abusive financial services practices, and for other purposes
15 references not yet in our index
- 54 Stat. 854
- Pub. L. 86-750
- 74 Stat. 887
- Pub. L. 101-550
- 104 Stat. 2715
- Pub. L. 111-203
- 124 Stat. 1574
- Pub. L. 111-257
- 124 Stat. 2646
- 124 Stat. 1838
- Pub. L. 104-290
- 110 Stat. 3439
- Pub. L. 109-290
- 120 Stat. 1321
- 64 Stat. 1265
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cites case law
§ 80b–10
Disclosure of information by Commission
Fed. Reg.×52
C.F.R.×3
Stat.×2
Stat.54 Stat. 854
Pub. L.Pub. L. 86-750
Stat.74 Stat. 887
Pub. L.Pub. L. 101-550
Stat.104 Stat. 2715
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