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9.8 SEC and Other Agencies May Share Information without Waiving Privilege

<< Title IX Overview

9.8 SEC and Other Agencies May Share Information without Waiving Privilege

 

 


            9.8.       SEC and Other Agencies May Share Information without Waiving Privilege.  The SEC will not be deemed to have waived any privilege applicable to any information by transferring that information to, or permitting that information to be used by, another Federal department or agency, the Public Company Accounting Oversight Board ("PCAOB"), an SRO, or a foreign or State securities or law enforcement authority.

            Similarly, no Federal department or agency, State securities or law enforcement agency, SRO or the PCAOB will be deemed to have waived any privilege by transferring information to the SEC or permitting information to be used by SEC, except that this provision will not apply to an SRO or the PCAOB in regard to information they provide that is used by the SEC in an action against such entities.  In addition, the SEC shall not be compelled to disclose information provided to the SEC by any foreign securities or law enforcement authority if such authority has represented in good faith that the information is privileged. [§929K]