15 USC 57b-2(b): Materials received pursuant to compulsory process in a law enforcement investigation.

          
Sec. 57b-2. Confidentiality
(a) Definitions

    For purposes of this section:
        (1) The term ``material'' means documentary material, tangible 
    things, written reports or answers to questions, and transcripts of 
    oral testimony.
        (2) The term ``Federal agency'' has the meaning given it in 
    section 552(e) \1\ of title 5.
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    \1\ See References in Text note below.
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(b) Procedures respecting documents, tangible things, or transcripts of 
        oral testimony received pursuant to compulsory process or 
        investigation

    (1) With respect to any document, tangible thing, or transcript of 
oral testimony received by the Commission pursuant to compulsory process 
in an investigation, a purpose of which is to determine whether any 
person may have violated any provision of the laws administered by the 
Commission, the procedures established in paragraph (2) through 
paragraph (7) shall apply.
    (2)(A) The Commission shall designate a duly authorized agent to 
serve as custodian of documentary material, tangible things, or written 
reports or answers to questions, and transcripts of oral testimony, and 
such additional duly authorized agents as the Commission shall determine 
from time to time to be necessary to serve as deputies to the custodian.
    (B) Any person upon whom any demand for the production of 
documentary material has been duly served shall make such material 
available for inspection and copying or reproduction to the custodian 
designated in such demand at the principal place of business of such 
person (or at such other place as such custodian and such person 
thereafter may agree or prescribe in writing or as the court may direct 
pursuant to section 57b-1(h) of this title) on the return date specified 
in such demand (or on such later date as such custodian may prescribe in 
writing). Such person may upon written agreement between such person and 
the custodian substitute copies for originals of all or any part of such 
material.
    (3)(A) The custodian to whom any documentary material, tangible 
things, written reports or answers to questions, and transcripts of oral 
testimony are delivered shall take physical possession of such material, 
reports or answers, and transcripts, and shall be responsible for the 
use made of such material, reports or answers, and transcripts, and for 
the return of material, pursuant to the requirements of this section.
    (B) The custodian may prepare such copies of the documentary 
material, written reports or answers to questions, and transcripts of 
oral testimony, and may make tangible things available, as may be 
required for official use by any duly authorized officer or employee of 
the Commission under regulations which shall be promulgated by the 
Commission. Notwithstanding subparagraph (C), such material, things, and 
transcripts may be used by any such officer or employee in connection 
with the taking of oral testimony under this section.
    (C) Except as otherwise provided in this section, while in the 
possession of the custodian, no documentary material, tangible things, 
reports or answers to questions, and transcripts of oral testimony shall 
be available for examination by any individual other than a duly 
authorized officer or employee of the Commission without the consent of 
the person who produced the material, things, or transcripts. Nothing in 
this section is intended to prevent disclosure to either House of the 
Congress or to any committee or subcommittee of the Congress, except 
that the Commission immediately shall notify the owner or provider of 
any such information of a request for information designated as 
confidential by the owner or provider.
    (D) While in the possession of the custodian and under such 
reasonable terms and conditions as the Commission shall prescribe--
        (i) documentary material, tangible things, or written reports 
    shall be available for exam
    ination by the person who produced the material, or by any duly 
    authorized representative of such person; and
        (ii) answers to questions in writing and transcripts of oral 
    testimony shall be available for examination by the person who 
    produced the testimony or by his attorney.

    (4) Whenever the Commission has instituted a proceeding against a 
person, partnership, or corporation, the custodian may deliver to any 
officer or employee of the Commission documentary material, tangible 
things, written reports or answers to questions, and transcripts of oral 
testimony for official use in connection with such proceeding. Upon the 
completion of the proceeding, the officer or employee shall return to 
the custodian any such material so delivered which has not been received 
into the record of the proceeding.
    (5) If any documentary material, tangible things, written reports or 
answers to questions, and transcripts of oral testimony have been 
produced in the course of any investigation by any person pursuant to 
compulsory process and--
        (A) any proceeding arising out of the investigation has been 
    completed; or
        (B) no proceeding in which the material may be used has been 
    commenced within a reasonable time after completion of the 
    examination and analysis of all such material and other information 
    assembled in the course of the investigation;

then the custodian shall, upon written request of the person who 
produced the material, return to the person any such material which has 
not been received into the record of any such proceeding (other than 
copies of such material made by the custodian pursuant to paragraph 
(3)(B)).
    (6) The custodian of any documentary material, written reports or 
answers to questions, and transcripts of oral testimony may deliver to 
any officers or employees of appropriate Federal law enforcement 
agencies, in response to a written request, copies of such material for 
use in connection with an investigation or proceeding under the 
jurisdiction of any such agency. The custodian of any tangible things 
may make such things available for inspection to such persons on the 
same basis. Such materials shall not be made available to any such 
agency until the custodian received certification of any officer of such 
agency that such information will be maintained in confidence and will 
be used only for official law enforcement purposes. Such documentary 
material, results of inspections of tangible things, written reports or 
answers to questions, and transcripts of oral testimony may be used by 
any officer or employee of such agency only in such manner and subject 
to such conditions as apply to the Commission under this section. The 
custodian may make such materials available to any State law enforcement 
agency upon the prior certification of any officer of such agency that 
such information will be maintained in confidence and will be used only 
for official law enforcement purposes. The custodian may make such 
material available to any foreign law enforcement agency upon the prior 
certification of an appropriate official of any such foreign law 
enforcement agency, either by a prior agreement or memorandum of 
understanding with the Commission or by other written certification, 
that such material will be maintained in confidence and will be used 
only for official law enforcement purposes, if--
        (A) the foreign law enforcement agency has set forth a bona fide 
    legal basis for its authority to maintain the material in 
    confidence;
        (B) the materials are to be used for purposes of investigating, 
    or engaging in enforcement proceedings related to, possible 
    violations of--
            (i) foreign laws prohibiting fraudulent or deceptive 
        commercial practices, or other practices substantially similar 
        to practices prohibited by any law administered by the 
        Commission;
            (ii) a law administered by the Commission, if disclosure of 
        the material would further a Commission investigation or 
        enforcement proceeding; or
            (iii) with the approval of the Attorney General, other 
        foreign criminal laws, if such foreign criminal laws are 
        offenses defined in or covered by a criminal mutual legal 
        assistance treaty in force between the government of the United 
        States and the foreign law enforcement agency's government;

        (C) the appropriate Federal banking agency (as defined in 
    section 1813(q) of title 12) or, in the case of a Federal credit 
    union, the National Credit Union Administration, has given its prior 
    approval if the materials to be provided under subparagraph (B) are 
    requested by the foreign law enforcement agency for the purpose of 
    investigating, or engaging in enforcement proceedings based on, 
    possible violations of law by a bank, a savings and loan institution 
    described in section 57a(f)(3) of this title, or a Federal credit 
    union described in section 57a(f)(4) of this title; and
        (D) the foreign law enforcement agency is not from a foreign 
    state that the Secretary of State has determined, in accordance with 
    section 2405(j) of the Appendix to title 50, has repeatedly provided 
    support for acts of international terrorism, unless and until such 
    determination is rescinded pursuant to section 2405(j)(4) of the 
    Appendix to title 50.

Nothing in the preceding sentence authorizes the disclosure of material 
obtained in connection with the administration of the Federal antitrust 
laws or foreign antitrust laws (as defined in paragraphs (5) and (7), 
respectively, of section 6211 of this title) to any officer or employee 
of a foreign law enforcement agency.
    (7) In the event of the death, disability, or separation from 
service in the Commission of the custodian of any documentary material, 
tangible things, written reports or answers to questions, and 
transcripts of oral testimony produced under any demand issued under 
this subchapter, or the official relief of the custodian from 
responsibility for the custody and control of such material, the 
Commission promptly shall--
        (A) designate under paragraph (2)(A) another duly authorized 
    agent to serve as custodian of such material; and
        (B) transmit in writing to the person who produced the material 
    or testimony notice as
    to the identity and address of the successor so designated.

Any successor designated under paragraph (2)(A) as a result of the 
requirements of this paragraph shall have (with regard to the material 
involved) all duties and responsibilities imposed by this section upon 
his predecessor in office with regard to such material, except that he 
shall not be held responsible for any default or dereliction which 
occurred before his designation.

(c) Information considered confidential

    (1) All information reported to or otherwise obtained by the 
Commission which is not subject to the requirements of subsection (b) of 
this section shall be considered confidential when so marked by the 
person supplying the information and shall not be disclosed, except in 
accordance with the procedures established in paragraph (2) and 
paragraph (3).
    (2) If the Commission determines that a document marked confidential 
by the person supplying it may be disclosed because it is not a trade 
secret or commercial or financial information which is obtained from any 
person and which is privileged or confidential, within the meaning of 
section 46(f) of this title, then the Commission shall notify such 
person in writing that the Commission intends to disclose the document 
at a date not less than 10 days after the date of receipt of 
notification.
    (3) Any person receiving such notification may, if he believes 
disclosure of the document would cause disclosure of a trade secret, or 
commercial or financial information which is obtained from any person 
and which is privileged or confidential, within the meaning of section 
46(f) of this title, before the date set for release of the document, 
bring an action in the district court of the United States for the 
district within which the documents are located or in the United States 
District Court for the District of Columbia to restrain disclosure of 
the document. Any person receiving such notification may file with the 
appropriate district court or court of appeals of the United States, as 
appropriate, an application for a stay of disclosure. The documents 
shall not be disclosed until the court has ruled on the application for 
a stay.

(d) Particular disclosures allowed

    (1) The provisions of subsection (c) of this section shall not be 
construed to prohibit--
        (A) the disclosure of information to either House of the 
    Congress or to any committee or subcommittee of the Congress, except 
    that the Commission immediately shall notify the owner or provider 
    of any such information of a request for information designated as 
    confidential by the owner or provider;
        (B) the disclosure of the results of any investigation or study 
    carried out or prepared by the Commission, except that no 
    information shall be identified nor shall information be disclosed 
    in such a manner as to disclose a trade secret of any person 
    supplying the trade secret, or to disclose any commercial or 
    financial information which is obtained from any person and which is 
    privileged or confidential;
        (C) the disclosure of relevant and material information in 
    Commission adjudicative proceedings or in judicial proceedings to 
    which the Commission is a party; or
        (D) the disclosure to a Federal agency of disaggregated 
    information obtained in accordance with section 3512 \1\ of title 
    44, except that the recipient agency shall use such disaggregated 
    information for economic, statistical, or policymaking purposes 
    only, and shall not disclose such information in an individually 
    identifiable form.

    (2) Any disclosure of relevant and material information in 
Commission adjudicative proceedings or in judicial proceedings to which 
the Commission is a party shall be governed by the rules of the 
Commission for adjudicative proceedings or by court rules or orders, 
except that the rules of the Commission shall not be amended in a manner 
inconsistent with the purposes of this section.

(e) Effect on other statutory provisions limiting disclosure

    Nothing in this section shall supersede any statutory provision 
which expressly prohibits or limits particular disclosures by the 
Commission, or which authorizes disclosures to any other Federal agency.

(f) Exemption from public disclosure

                           (1) In general

        Any material which is received by the Commission in any 
    investigation, a purpose of which is to determine whether any person 
    may have violated any provision of the laws administered by the 
    Commission, and which is provided pursuant to any compulsory process 
    under this subchapter or which is provided voluntarily in place of 
    such compulsory process shall not be required to be disclosed under 
    section 552 of title 5 or any other provision of law, except as 
    provided in paragraph (2)(B) of this section.

             (2) Material obtained from a foreign source

        (A) In general

            Except as provided in subparagraph (B) of this paragraph, 
        the Commission shall not be required to disclose under section 
        552 of title 5 or any other provision of law--
                (i) any material obtained from a foreign law enforcement 
            agency or other foreign government agency, if the foreign 
            law enforcement agency or other foreign government agency 
            has requested confidential treatment, or has precluded such 
            disclosure under other use limitations, as a condition of 
            providing the material;
                (ii) any material reflecting a consumer complaint 
            obtained from any other foreign source, if that foreign 
            source supplying the material has requested confidential 
            treatment as a condition of providing the material; or
                (iii) any material reflecting a consumer complaint 
            submitted to a Commission reporting mechanism sponsored in 
            part by foreign law enforcement agencies or other foreign 
            government agencies.

        (B) Savings provision

            Nothing in this subsection shall authorize the Commission to 
        withhold information
        from the Congress or prevent the Commission from complying with 
        an order of a court of the United States in an action commenced 
        by the United States or the Commission.

(Sept. 26, 1914, ch. 311, Sec. 21, as added Pub. L. 96-252, Sec. 14, May 
28, 1980, 94 Stat. 385; amended Pub. L. 103-312, Sec. 8, Aug. 26, 1994, 
108 Stat. 1694; Pub. L. 109-455, Sec. 6, Dec. 22, 2006, 120 Stat. 3376.)

                          Amendment of Section

        For termination of amendment by section 13 of Pub. L. 109-455, 
    see Termination Date of 2006 Amendment note below.

                       References in Text

    Section 552(e) of title 5, referred to in subsec. (a)(2), was 
redesignated section 552(f) of Title 5, Government Organization and 
Employees, by section 1802(b) of Pub. L. 99-570.
    Section 3512 of title 44, referred to in subsec. (d)(1)(D), which 
related to requirements for the collection of information by independent 
Federal regulatory agencies, was a part of chapter 35 of Title 44, 
Public Printing and Documents. Chapter 35 was amended generally by the 
Paperwork Reduction Act of 1980 (Pub. L. 96-511) and subsequently by the 
Paperwork Reduction Act of 1995 (Pub. L. 104-13).
                            Prior Provisions

    A prior section 21 of act Sept. 26, 1914, ch. 311, was renumbered 
section 28 and is classified to section 58 of this title.
                               Amendments

    2006--Subsec. (b)(6). Pub. L. 109-455, Secs. 6(a), 13, 
temporarily inserted ``The custodian may make such material available to 
any foreign law enforcement agency upon the prior certification of an 
appropriate official of any such foreign law enforcement agency, either 
by a prior agreement or memorandum of understanding with the Commission 
or by other written certification, that such material will be maintained 
in confidence and will be used only for official law enforcement 
purposes, if--'', added subpars. (A) to (D), and inserted concluding 
provisions. See Termination Date of 2006 Amendment note below.
    Subsec. (f). Pub. L. 109-455, Secs. 6(b), 13, temporarily 
inserted heading and amended text of subsec. (f) generally. Prior to 
amendment, text read as follows: ``Any material which is received by the 
Commission in any investigation, a purpose of which is to determine 
whether any person may have violated any provision of the laws 
administered by the Commission, and which is provided pursuant to any 
compulsory process under this subchapter or which is provided 
voluntarily in place of such compulsory process shall be exempt from 
disclosure under section 552 of title 5.'' See Termination Date of 2006 
Amendment note below.
    1994--Subsec. (a)(1). Pub. L. 103-312, Sec. 8(1), inserted 
``tangible things,'' after ``documentary material,''.
    Subsec. (b)(1). Pub. L. 103-312, Sec. 8(2), inserted ``, tangible 
thing,'' after ``document''.
    Subsec. (b)(2)(A). Pub. L. 103-312, Sec. 8(3), inserted ``tangible 
things,'' after ``documentary material,''.
    Subsec. (b)(3). Pub. L. 103-312, Sec. 8(4), in subpar. (A), inserted 
``tangible things,'' after ``documentary material,'', in subpar. (B), 
inserted ``, and may make tangible things available,'' after 
``transcripts of oral testimony'' and ``, things,'' after ``such 
material'', in subpar. (C), inserted ``tangible things,'' after 
``documentary material,'' and ``, things,'' after ``material'', and in 
subpar. (D)(i), inserted ``, tangible things,'' after ``documentary 
material''.
    Subsec. (b)(4), (5). Pub. L. 103-312, Sec. 8(5), (6), inserted 
``tangible things,'' after ``documentary material,''.
    Subsec. (b)(6). Pub. L. 103-312, Sec. 8(7), inserted ``The custodian 
of any tangible things may make such things available for inspection to 
such persons on the same basis.'' after first sentence, and ``results of 
inspections of tangible things,'' after ``Such documentary material,''.
    Subsec. (b)(7). Pub. L. 103-312, Sec. 8(8), inserted ``tangible 
things,'' after ``documentary material,''.
                   Termination Date of 2006 Amendment

    Amendment by Pub. L. 109-455 to cease to have effect 7 years after 
Dec. 22, 2006, see section 13 of Pub. L. 109-455, set out as a note 
under section 44 of this title.
                    Effective Date of 1994 Amendment

    Amendment by Pub. L. 103-312 applicable only with respect to 
compulsory process issued after Aug. 26, 1994, see section 15(d) of Pub. 
L. 103-312, set out as a note under section 45 of this title.
                             Effective Date

    Section effective May 28, 1980, see section 23 of Pub. L. 96-252, 
set out as an Effective Date of 1980 Amendment note under section 45 of 
this title.