---
kind: "section"
citation: "15 U.S.C. § 80b–10a"
title: "15"
title_heading: "Commerce and Trade"
number: "80b–10a"
heading: "Consultation"
release: "119-102"
date: "2026-07-12"
url: "https://uscodex.org/usc/15/80b-10a"
units:
  - "Chapter 2D — Investment Companies and Advisers"
  - "Subchapter II — Investment Advisers"
---

# §80b–10a. Consultation

- (a) **Examination results and other information—**
  - (1) The appropriate Federal banking agency shall provide the [Commission](/usc/15/80a–2.md?p=a-7) upon request the results of any examination, reports, records, or other information to which such agency may have access—
    - (A) with respect to the investment advisory activities of any—
      - (i) [bank](/usc/15/80a–2.md?p=a-5) holding [company](/usc/15/80a–2.md?p=a-8) or savings and loan holding [company](/usc/15/80a–2.md?p=a-8);
      - (ii) [bank](/usc/15/80a–2.md?p=a-5); or
      - (iii) [separately identifiable department or division](/usc/15/80b–2.md?p=a-26) of a [bank](/usc/15/80a–2.md?p=a-5),

      that is registered under [section 80b–3 of this title](/usc/15/80b–3.md); and

    - (B) in the case of a [bank](/usc/15/80a–2.md?p=a-5) holding [company](/usc/15/80a–2.md?p=a-8) or savings and loan holding [company](/usc/15/80a–2.md?p=a-8) or [bank](/usc/15/80a–2.md?p=a-5) that has a subsidiary or a [separately identifiable department or division](/usc/15/80b–2.md?p=a-26) registered under that section, with respect to the investment advisory activities of such [bank](/usc/15/80a–2.md?p=a-5) or [bank](/usc/15/80a–2.md?p=a-5) holding [company](/usc/15/80a–2.md?p=a-8) or savings and loan holding [company](/usc/15/80a–2.md?p=a-8).
  - (2) The [Commission](/usc/15/80a–2.md?p=a-7) shall provide to the appropriate Federal banking agency upon request the results of any examination, reports, records, or other information with respect to the investment advisory activities of any [bank](/usc/15/80a–2.md?p=a-5) holding [company](/usc/15/80a–2.md?p=a-8) or savings and loan holding [company](/usc/15/80a–2.md?p=a-8), [bank](/usc/15/80a–2.md?p=a-5), or [separately identifiable department or division](/usc/15/80b–2.md?p=a-26) of a [bank](/usc/15/80a–2.md?p=a-5), which is registered under [section 80b–3 of this title](/usc/15/80b–3.md).
  - (3) Notwithstanding any other provision of law, the [Commission](/usc/15/80a–2.md?p=a-7) and the appropriate Federal banking agencies shall not be compelled to disclose any information provided under paragraph [(1)](#a-1) or [(2)](#a-2). Nothing in this paragraph shall authorize the [Commission](/usc/15/80a–2.md?p=a-7) or such agencies to withhold information from Congress, or prevent the [Commission](/usc/15/80a–2.md?p=a-7) or such agencies from complying with a request for information from any other Federal department or agency or any self-regulatory organization requesting the information for purposes within the scope of its jurisdiction, or complying with an order of a court of the United States in an action brought by the United States, the [Commission](/usc/15/80a–2.md?p=a-7), or such agencies. For purposes of [section 552 of title 5](/usc/5/552.md), this paragraph shall be considered a statute described in [subsection (b)(3)(B)](/usc/5/552.md?p=b-3-B) of such section 552.
- (b) **Effect on other authority—** Nothing in this section shall limit in any respect the authority of the appropriate Federal banking agency with respect to such [bank](/usc/15/80a–2.md?p=a-5) holding [company](/usc/15/80a–2.md?p=a-8) or savings and loan holding [company](/usc/15/80a–2.md?p=a-8) (or affiliates or subsidiaries thereof), [bank](/usc/15/80a–2.md?p=a-5), or subsidiary, department, or division or a [bank](/usc/15/80a–2.md?p=a-5) under any other provision of law.
- (c) **Definition—** For purposes of this section, the term “appropriate Federal banking agency” shall have the same meaning as given in [section 1813 of title 12](/usc/12/1813.md).

## Source credit

(Aug. 22, 1940, ch. 686, title II, § 210A, as added Pub. L. 106–102, title II, § 220, Nov. 12, 1999, 113 Stat. 1400; Pub. L. 109–351, title IV, § 401(b)(2), Oct. 13, 2006, 120 Stat. 1973.)

## Notes

### Editorial Notes

### Amendments

2006—Subsecs. (a), (b). Pub. L. 109–351 substituted “bank holding company or savings and loan holding company” for “bank holding company” wherever appearing.

### Statutory Notes and Related Subsidiaries

### Effective Date

Section effective 18 months after Nov. 12, 1999, see section 225 of Pub. L. 106–102, set out as an Effective Date of 1999 Amendment note under section 77c of this title.