U.S Code last checked for updates: Nov 22, 2024
§ 80b–10.
Disclosure of information by Commission
(a)
Information available to public
(b)
Disclosure of fact of examination or investigation; exceptions
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—
(1)
in the case of any hearing which is public under the provisions of section 80b–12 of this title; or
(2)
in the case of a resolution or request from either House of Congress.
(c)
Disclosure by investment adviser of identity of clients
(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.)
cite as: 15 USC 80b-10