Regulations last checked for updates: Apr 28, 2024

Title 17 - Commodity and Securities Exchanges last revised: Apr 19, 2024
§ 11.6 - Oath; false statements.

(a) Oath. At the discretion of the member of the Commission or staff member conducting the investigation, testimony of a witness may be taken under oath.

(b) Penalties for false statements and other false information. Any person making false statements under oath during the course of a Commission investigation is subject to the criminal penalties for perjury in 18 U.S.C. 1621. Any person who knowingly and willfully makes false or fraudulent statements, whether under oath or otherwise, or who falsifies, conceals or covers up a material fact, or submits any false writing or document, knowing it to contain false, fictitious or fraudulent information, is subject to the criminal penalties set forth in 18 U.S.C. 1001.

authority: 7 U.S.C. 4a(j), 9, 12, 12a(5) and 15
source: 41 FR 29799, July 19, 1976, unless otherwise noted.
cite as: 17 CFR 11.6