ment Printing Office, Washington, D.C. 20402.

(c) The Commission currently publishes in the FEDERAL REGISTER for the guidance of the public, descriptions of its organization and statements of its rules, procedures, policies, and administrative interpretations. In some instances, with the approval of the Director of the Federal Register, material and information which is otherwise readily available to the public with respect to such descriptions and statements is incorporated in the FEDERAL REGISTER by reference. Included in the material published by the Commission in the FEDERAL REGISTER, copies of which may be obtained without charge upon request to the Secretary of the Commission, are:

(1) Descriptions of its organization, including the places at which, the officers from whom, and the methods whereby, the public may secure information, make submittals or requests, and obtain decisions;

(2) Statements of its general procedures and policies, its nonadjudicative procedures, its rules of practice for adjudicative proceedings, and its miscellaneous rules, including descriptions of the nature and requirements of all formal and informal procedures available;

(3) Cease-and-desist orders and orders of divestiture, industry guides, advisory opinions and compliance advice, together with requests therefor, and other administrative interpretations;

(4) Notices of proposed rulemaking proceedings and rules and orders issued in such proceedings; and

(5) Every amendment, revision, or repeal of any of the foregoing.

(d) The Commission publishes periodically in official reports under the title "Federal Trade Commission Decisions": the initial decisions of hearing examiners in adjudicative proceedings; the decisions of the Commission in adjudicative proceedings, including statements of the reasons or basis for its action and any concurring and dissenting opinions; significant orders and opinions on interlocutory matters in adjudicative proceedings; the decisions of the Commission in proceedings disposed of by the entry of consent orders to cease and desist; and advisory opinions and compliance advice.

(e) Included in the public records of the Commission which are routinely

available for inspection and copying pursuant to the provisions of § 4.8, in addition to those referred to elsewhere in this section, are:

(1) A current index of opinions, orders, statements of policy and interpretations, staff manuals and instructions that affect any member of the public, and other public records of the Commission;

(2) A current record of the final votes of each member of the Commission upon every final action in every agency proceeding;

(3) The petitions, applications, pleadings, briefs, and other records filed by the Commission with the courts in connection with adjudicative, injunctive, and condemnation proceedings, and opinions and orders of the courts and the Commission in disposition thereof;

(4) The pleadings, motions, certifications and orders, and the transcripts of hearings, including public conferences, testimony, oral arguments, and other material made a part thereof, and exhibits and all documents received in evidence or made a part of the record in adjudicative proceedings (except testimony and exhibits placed in camera);

(5) Petitions filed with the Secretary of the Commission for the promulgation or issuance, amendment, or repeal of industry guides and of rules or regulations within the scope of § 1.11 of this chapter, including petitions for exemptions;

(6) Transcripts of hearings and written statements filed in connection therewith in all industry guides and rulemaking proceedings;

(7) Continuing guaranties filed under the Wool, Fur, Textile, and Flammable Fabrics Acts;

(8) Published reports by the staff or by the Commission on economic surveys and investigations of general interest;

(9) Registration statements and annual reports filed with the Commission by export trade associations, and bulletins, pamphlets, and reports with respect to such associations released by the Commission;

(10) Notices and proposed forms of complaint and order under § 2.31 of this chapter, agreements containing orders after acceptance by the Commission, and assurances of voluntary compliance which are accepted under § 2.21 of this chapter (excluding matters disposed of under § 1.34 of this chapter);

(11) Releases from time to time through the Commission's Office of Public Information supplying additional information concerning the activities of the Commission, copies of which may be obtained without charge upon request to the Office of Public Information or to the Secretary of the Commission;

(12) Reprints of the principal laws under which the Commission exercises enforcement or administrative responsibilities, which may be obtained without charge upon request to the Secretary of the Commission;

(13) Requests for advice concerning proposed mergers and applications for approval of proposed divestitures, acquisitions, or similar transactions subject to Commission review under outstanding orders, together with supporting materials and communications with respect to such proposed transactions received by any member of the Commisslon and any employee involved in the decisional process, to the extent that such requests, applications, and materials are made public under §§ 1.4(b) and 3.61(e) of this chapter; objections or comments with respect thereto which are filed for the public record; and any advice or response given and made public under §§ 1.4(b) and 3.61(e) of this chapter, together with a statement of supporting reasons.

(f) Reports of compliance and all supplemental materials in connection therewith, filed pursuant to the rules in this chapter or to a provision in an order of the Commission, and reports of compliance filed pursuant to assurances of voluntary compliance which are accepted under § 2.21 of this chapter (excluding matters disposed of under § 1.34 of this chapter), except as provided in § 4.9 (g), shall be available at the principal office of the Commission for inspection and copying by the public when received, unless at such time the filing party requests confidentiality in whole or in part and submits satisfactory reasons therefor, and the Commission, with due regard for statutory restrictions, its rules and the public interest, grants the request.

(g) Reports of compliance and supplemental materials filed in connection with Commission orders requiring divestitures or establishment of business enterprises or facilities, save those otherwise specifically dealt with in §§ 3.61 (e)

and 4.9(e) (13) of this chapter, shall be confidential until the last such divestiture or establishment of a business enterprise or facility, as required by a particular order, has been finally approved by the Commission. At the time each such report is submitted the filing party may request continuing confidentiality in whole or in part and submit satisfactory reasons therefor, and the Commission with due regard for statutory restrictions, its rules and the public interest will pass upon such request.

[32 F.R. 8456, June 13, 1967, as amended at 34 F.R. 17433, Oct. 29, 1969; 35 F.R. 5399, Apr. 1, 1970; 35 F.R. 10585, June 30, 1970; 35 F.R. 12061, July 28, 1970]

§ 4.10

Confidential information.

(a) The records of the Commission which are exempt from availability for public inspection and copying pursuant to the provisions of § 4.8 include:

(1) Records related solely to the internal personnel rules and practices of the Commission;

(2) Trade secrets and names of customers and commercial or financial information obtained from any person which is customarily privileged or which is expressly received by the Commission in confidence, including the identities of holders of registered identification numbers issued by the Commission pursuant to § 1.32 of this chapter, and reports of compliance and assurances of voluntary compliance classified as confidential pursuant to § 4.9 (f);

(3) Official minutes of Commission meetings;

(4) Interagency or intra agency memorandums or letters which would not be available by law to a private party in litigation with the Commission;

(5) Personnel and medical files and similar files the disclosure of which would constitute a clearly unwarranted invasion of personal privacy;

(6) Investigatory files compiled for law enforcement purposes except to the extent available by law to a private party, and testimony, exhibits, and other material placed in camera in adjudicative proceedings pursuant to §3.45 of this chapter; and

(7) Such other files and records of the Commission as may be exempted from disclosure by statute or by Executive order.

(8) Votes of members of the Commission upon issuance of complaints or

in connection with the initiation of agency proceedings.

(b) To the extent required to prevent clearly unwarranted invasions of personal privacy, the Commission may delete, with written explanation thereof, identifying details when it makes any of its records publicly available.

(c) All records, files, documents, memorandums, correspondence, exhibits, and information of whatever nature coming into the possession or within the knowledge of the Commission or any of its officers or employees in the discharge of their official duties which fall within the scope of the exemptions from public availability in paragraph (a) and the deletions in paragraph (b) of this section constitute the confidential records of the Commission. All other records and information of the Commission not clearly identifiable as public records pursuant to the provisions of § 4.9 and not listed in the current index of the public records of the Commission also constitute a part of its confidential records unless and until otherwise directed by the Commission. Except to the extent that the disclosure of information contained in the confidential records of the Commission is specifically authorized by the rules in this chapter or by the Commission, or to the extent that its use may become necessary in connection with adjudicative proceedings, it may be disclosed, divulged, or produced for inspection or copying only under the procedure set forth in § 4.11.

(d) Under section 10 of the Federal Trade Commission Act, any officer or employee of the Commission who shall make public any information obtained by the Commission and contained in its confidential records, without its authority, unless directed by a court, shall be deemed guilty of a misdemeanor, and upon conviction thereof, may be punished by a fine not exceeding five thousand dollars ($5,000), or by imprisonment not exceeding 1 year, or by fine and imprisonment, in the discretion of the court.

[32 F.R. 8456, June 13, 1967; 32 F.R. 8711, June 17, 1967; 35 F.R. 12061, July 27, 1970] § 4.11 Release of confidential informa

tion.

(a) Upon good cause shown, the Commission may by order direct that certain records, files, papers, or information contained in its confidential records be made public or disclosed to a particular appli

cant. To the extent that copies of such records are provided by the Commission, the fees prescribed in § 4.8(c) will apply.

(b) Application by a member of the public for such disclosure shall be in writing, under oath, setting forth the interest of the applicant in the subject matter; a description of the specific information, files, documents, or other material, inspection of which is requested; whether copies are desired; and the purpose for which the information or material, or copies, will be used if the application is granted. Upon receipt of such an application the Commission will take action thereon, having due regard to statutory restrictions, its rules, and the public interest.

(c) In the event that information contained in the confidential records of the Commission is desired for inspection, copying, or use by another governmental agency, a request therefor may be made by the administrative head of the agency. Such request shall be in writing and shall describe the information or material desired, its relevancy to the work and function of the agency, and, if the production of documents or records or the taking of copies thereof is asked, the use which is intended to be made of them. The Commission will consider and act upon such requests, having due regard for statutory restrictions, its rules, and the public interest.

(d) Any official or employee of the Commission who is served with a subpoena or other compulsory process, except a subpoena issued within the scope of § 3.36 of this chapter, requiring the production of any document or record or the disclosure of any information which is designated in § 4.10 as a part of the confidential records of the Commission shall promptly advise the Commission of the service of such subpoena or other compulsory process, the nature of the documents or information sought, and all relevant facts and circumstances. The Commission will thereupon enter such order or give such instructions as it shall deem advisable. If the official or employee so served has not received instructions from the Commission prior to the return date of the subpoena or other compulsory process, he shall appear in response thereto and respectfully decline to produce the documents or records or to disclose the information called for, basing his refusal upon this paragraph. [32 F.R. 8456, June 13, 1967, as amended at 33 F.R. 7033, May 10, 1968]

PART 13-PROHIBITED TRADE

PRACTICES

AUTHORITY: The provisions of this Part 13 issued under sec. 6(g), 5, 38 Stat. 722, 719, sec. 2 (a), (c), (d), (e), 49 Stat. 1526, 1527: 15 U.S.C. 46, 45, 13 (a), (c), (d), (e), unless otherwise noted.

SOURCE: The provisions of this Part 13 appear at 24 F.R. 10287, Dec. 19, 1959, unless otherwise noted.

NOTE: In the revision of Title 16 as of January 1, 1960, the listing of individual actions under each section of Part 13 is discontinued. For Federal Register citations to cease and desist orders issued under the various sections of this part from January 1, 1949 through December 31, 1963, see List of Sections Affected, 1949-1963, and from January 1, 1964 to the present, see the List of Sections Affected at the end of this volume. Commencing with the list for 1959, the Federal Trade Commission docket numbers are included. The notation "o" following a docket number indicates an opinion; "c.o." indicates a consent order.

Complete listings of all firms and individuals named in cease and desist orders are carried in the Annual Indexes to the Federal Register. For public information services of the Federal Trade Commission, see § 1.132 of this title.

Subpart-Acquiring Confidential
Information Unfairly

§ 13.1 Acquiring confidential information unfairly.

Subpart-Acquiring Corporate Stock

or Assets

§ 13.5 Acquiring corporate stock or

assets.

over.