Ex parte communications in enforcement actions.

CFR · 2024-01-01 · US · Title 11

In order to avoid the possibility of prejudice, real or apparent, to the public interest in enforcement actions pending before the Commission pursuant to 52 U.S.C. 30109: (a) Except to the extent required for the disposition of enforcement matters as required by law (as, for example, during the normal course of an investigation or a conciliation effort), no Commissioner or member of any Commissioner's staff shall make or entertain any (b) The prohibition of this section shall apply from the time a complaint is filed with the Commission pursuant to 52 U.S.C. 30109(a)(1) or from the time that the Commission determines on the basis of information ascertained in the normal course of its supervisory responsibilities that it has reason to believe that a violation has occurred or may occur pursuant to 52 U.S.C. 30109(a)(2), and such prohibition shall remain in force until the Commission has concluded all action with respect to the enforcement matter in question. (c) Any written communication prohibited by paragraph (a) of this section shall be delivered to the General Counsel, who shall place the communication in the case file. (d) A Commissioner or member of any Commissioner's staff involved in handling enforcement actions who receives an offer to make an oral communication or any communication concerning any enforcement action pending before the Commission as described in paragraph (a) of this section, shall (e) Additional rules governing

official document · source cfr-2024 · id 11:§ 7.8