Code of Federal Regulations (Last Updated: February 15, 2024) |
Title 17 - Commodity and Securities Exchanges |
Chapter II—Securities and Exchange Commission |
Part 200 - Organization; Conduct and Ethics; and Information and Requests |
Subpart H - Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission |
§ 200.311 - Inspector General exemptions.
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§ 200.311 Penalties.
Title 18Inspector General exemptions.
1001 makes it a criminal offense, subject to a maximum fine of $10,000, or imprisonment for not more than 5 years or both, to knowingly and willingly make or cause to be made any false or fradulent statements or representations in any matter within the jurisdiction of any agency of the United States.(a) Pursuant to, and limited by 5 U.S.C.
i) makes it a misdemeanor punishable by a fine of not more than $5,000 for any person knowingly and willfully to request or obtain any record concerning an individual from the Commission under false pretenses.552a(j)(2), the system of records maintained by the Office of Inspector General of the Commission that contains investigative files is exempt from the provisions of 5 U.S.C. 552a, except sections (
b), (c)(1) and (2), (e)(4)(A) through (F), (e)(6), (e)(7), (e)(9), (e)(10), and (e)(11), and (i), and §§ 200.303 through 200.309, insofar as the system contains information pertaining to criminal law enforcement investigations.
i1) and ( provide criminal penalties for certain violations of the Privacy Act by officers and employees of the Commission.(b) Pursuant to, and limited by 5 U.S.C. 552a(
, the system of records maintained by the Office of Inspector General of the Commission that contains investigative files is exempt from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (e)(4)(H), (e)(4)(I), and (f) and §§ 200.303 through 200.309, insofar as it contains investigatory materials compiled for law enforcement purposes.