17 C.F.R. § 200.735-10 Miscellaneous statutory provisions.
Title 17 - Commodity and Securities Exchanges
Each member and employee is responsible for acquainting himself or herself with each statute that relates to his or her ethical and other conduct as a member or employee of the Commission and of the Government, including the statutory provisions listed below. Violations of any of these statutes are deemed to be violations of the rules in this subpart M as well. (a) House Concurrent Resolution 175, 85th Congress, 2d Session, 72 Stat. B12, the “Code of Ethics for Government Service.” (b) Chapter 11 of title 18 U.S.C., relating to bribery, graft, and conflicts of interest, as appropriate to the employees concerned. (c) The prohibition against lobbying with appropriated funds (18 U.S.C. 1913). (d) The prohibition against disloyalty and striking (5 U.S.C. 7311, 18 U.S.C. 1918). (e) The prohibition against (1) the disclosure of classified information (18 U.S.C. 798, 50 U.S.C. 783); and (2) disclosure of confidential information (18 U.S.C. 1905). (f) The provision relating to the habitual use of intoxicants to excess (5 U.S.C. 7352). (g) The prohibition against the misuse of a Government vehicle (31 U.S.C. 638a(c)). (h) The prohibition against the misuse of the franking privilege (18 U.S.C. 1719). (i) The prohibition against the use of deceit in an examination or personnel action in connection with Government employment (18 U.S.C. 1917). (j) The prohibition against fraud or false statements in a Government matter (18 U.S.C. 1001). (k) The prohibition against mutilating or destroying a public record (18 U.S.C. 2071). (l) The prohibition against counterfeiting and forging transportation requests (18 U.S.C. 508). (m) The prohibition against (1) embezzlement of Government money or property (18 U.S.C. 641); (2) failing to account for public money (18 U.S.C. 643); and (3) embezzlement of the money or property of another person in the possession of an employee by reason of his employment (18 U.S.C. 654). (n) The prohibition against unauthorized use of documents relating to claims from or by the Government (18 U.S.C. 285). (o) The prohibition against political activities in subchapter III of chapter 73 of title 5 U.S.C. and 18 U.S.C. 602, 603, 607, and 608. (p) The prohibition against an employee acting as the agent of a foreign principal registered under the Foreign Agents Registration Act (18 U.S.C. 219).
Title 17: Commodity and Securities Exchanges
PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
Subpart M—Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
§ 200.735-10 Miscellaneous statutory provisions.
