---
kind: "range"
citation: "11 C.F.R. §§ 111.20–111.24"
title: "11"
from: "111.20"
to: "111.24"
count: 5
url: "https://uscodex.org/cfr/11/111.20..111.24"
---

# §111.20. Public disclosure of Commission action (52 U.S.C. 30109(a)(4)).

- (a) If the Commission makes a finding of no reason to believe or no probable cause to believe or otherwise terminates its proceedings, it shall make public such action and the basis therefor no later than thirty (30) days from the date on which the required notifications are sent to complainant and respondent.
- (b) If a conciliation agreement is finalized, the Commission shall make public such conciliation agreement forthwith.
- (c) For any compliance matter in which a civil action is commenced, the Commission will make public the non-exempt [52 U.S.C. 30109](/usc/52/30109.md) investigatory materials in the enforcement and litigation files no later than thirty (30) days from the date on which the Commission sends the complainant and the respondent(s) the required notification of the final disposition of the civil action. The final disposition may consist of a judicial decision which is not reviewed by a higher court.

# §111.21. Confidentiality (52 U.S.C. 30109(a)(12)).

- (a) Except as provided in [11 CFR 111.20](/cfr/11/111.20.md), no complaint filed with the Commission, nor any notification sent by the Commission, nor any investigation conducted by the Commission, nor any findings made by the Commission shall be made public by the Commission or by any person or entity without the written consent of the respondent with respect to whom the complaint was filed, the notification sent, the investigation conducted, or the finding made.
- (b) Except as provided in [11 CFR 111.20(b)](/cfr/11/111.20.md?p=b), no action by the Commission or by any person, and no information derived in connection with conciliation efforts pursuant to [11 CFR 111.18](/cfr/11/111.18.md), may be made public by the Commission except upon a written request by respondent and approval thereof by the Commission.
- (c) Nothing in these regulations shall be construed to prevent the introduction of evidence in the courts of the United States which could properly be introduced pursuant to the Federal Rules of Evidence or Federal Rules of Civil Procedure.

# §111.22. Ex parte communications.

- (a) In order to avoid the possibility of prejudice, real or apparent, to the public interest in enforcement actions pending before the Commission pursuant to [11 CFR part 111](/cfr/11/part111.md), except to the extent required for the disposition of ex parte matters as required by law (for example, during the normal course of an investigation or a conciliation effort), no interested person outside the agency shall make or cause to be made to any Commissioner or any member of any Commissioner's staff any ex parte communication relative to the factual or legal merits of any enforcement action, nor shall any Commissioner or member of any Commissioner's staff make or entertain any such ex parte communications.
- (b) The prohibition of this regulation shall apply from the time a complaint is filed with the Commission pursuant to [11 CFR part 111](/cfr/11/part111.md) or from the time that the Commission determines on the basis of information ascertained in the normal course of its supervisory responsibilities that it has reason to believe that a violation has occurred or may occur pursuant to [11 CFR part 111](/cfr/11/part111.md), and remains in force until the Commission has finally concluded all action with respect to the enforcement matter in question.
- (c) Nothing in this section shall be construed to prohibit contact between a respondent or respondent's attorney and any attorney or staff member of the Office of General Counsel in the course of representing the Commission or the respondent with respect to an enforcement proceeding or civil action. No statement made by such a Commission attorney or staff member during any such communication shall bind or estop the Commission in any way.

# §111.23. Representation by counsel; notification.

- (a) If a respondent wishes to be represented by counsel with regard to any matter pending before the Commission, respondent shall give the Commission a written notice of representation signed by the respondent, which shall include:
  - (1) The name, address, email address, and telephone number of the counsel;
  - (2) A statement authorizing such counsel to receive any and all notifications and other communications from the Commission on behalf of respondent.
- (b) Upon receipt of this notice, the Commission shall have no contact with respondent except through the designated counsel unless authorized in writing by respondent.

# §111.24. Civil Penalties (52 U.S.C. 30109(a)(5), (6), (12), 28 U.S.C. 2461 nt.).

- (a) Except as provided in [11 CFR part 111](/cfr/11/part111.md), [subpart B](/cfr/11/subpartB.md) and in [paragraph (b)](#b) of this section, a civil penalty negotiated by the Commission or imposed by a court for a violation of the Act or chapters 95 or 96 of title 26 (26 U.S.C.) shall be as follows:
  - (1) Except as provided in [paragraph (a)(2)](#a-2) of this section, in the case of a violation of the Act or chapters 95 or 96 of title 26 (26 U.S.C.), the civil penalty shall not exceed the greater of $24,885 or an amount equal to any contribution or expenditure involved in the violation.
  - (2) **Knowing and willful violations.**
    - (i) In the case of a knowing and willful violation of the Act or chapters 95 or 96 of title 26 (26 U.S.C.), the civil penalty shall not exceed the greater of $53,088 or an amount equal to 200% of any contribution or expenditure involved in the violation.
    - (ii) Notwithstanding [paragraph (a)(2)(i)](#a-2-i) of this section, in the case of a knowing and willful violation of [52 U.S.C. 30122](/usc/52/30122.md),the civil penalty shall not be less than 300% of the amount of any contribution involved in the violation and shall not exceed the greater of $84,852 or 1,000% of the amount of any contribution involved in the violation.
- (b) Any Commission member or employee, or any other person, who in violation of [52 U.S.C. 30109(a)(12)(A)](/usc/52/30109.md?p=a-12-A) makes public any notification or investigation under [52 U.S.C. 30109](/usc/52/30109.md) without receiving the written consent of the person receiving such notification, or the person with respect to whom such investigation is made, shall be fined not more than $7,455. Any such member, employee, or other person who knowingly and willfully violates this provision shall be fined not more than $18,610.