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ENFORCEMENT MANUAL Securities and Exchange CommissionINTRODUCTORY

By George C. Mathews, Robert E. Healy, Jerome M. Frank and Joan W. Hanes


This manual is confidential, and loaned to employees of the Commission engaged in work pertinent to its provisions during their employment. They are responsible for its production at any time. It is to be surrendered on the order of the Commission or the immediate superior of an employee. The Manual was adopted after a conference in Washington on December 7-9, 1937, attended by all Regional Administrators. Changes in the original form of the Manual will be made from time to time as experience dictates and additions are contemplated having to do with various statutory provisions, rules and regulations pertaining to the work of the Commission. All employees are solicited to submit at any time their recommendations or suggestions for changes, additions and deletions. Such recommendations or suggestions should be submitted through the Regional Administrator, or in the case of employees at Washington, through the head of the employee’s division. It must be appreciated that the rules and instructions laid down in this Manual are for the guidance of the Commission’s employees only. No exposition herein of any Statutory provision shall be taken as an interpretation by the Commission of such statutory provision. The provisions of this Manual supersede previous instructions which are inconsistent with them

Year: 2011
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