,,ii  #aadth ,,congress  #b;d ,session  
,s4 #beia  ,,in ,,the ,,senate ,,of     
,,the ,,united ,,states  ,february #be1 
#bjaf,ms4 ,baldwin introduced the       
following bill2 which was read twice and
 referred to the ,committee on ,banking1
 ,housing1 and ,urban ,affairs  ,a      
,,bill  ,to strengthen incentives and   
protections for whistleblowers in the   
financial industry and related          
regulatory agencies1 and for other      
purposes4  #a4 ,short ,title ,this ,act 
may be cited as the ,whistleblower      
,augmented ,reward and ,nonretaliation  
,act of #bjaf or the ,,warn ,act of     
#bjaf4  #b4 ,financial ,institutions    
,anti-,fraud ,enforcement ,act of #aiij 
,the ,financial ,institutions           
,anti-,fraud ,enforcement ,act of #aiij 
7#ab ,u4,s4,c4 #dbja et seq47 is        
amended--  7#a7 in section #befe7;d7    
7#ab ,u4,s4,c4 #dbje7;d77-- 7,a7 in     
paragraph 7#a77;,a71 by striking clause 
7i7 and inserting the following3  7i7   
,the declarant shall be entitled1 with  

respect to the total recovery in the    
action or any related actions1 to-- 7,i7
 not less than #aj percent2 and  7,,ii7 
not greater than #cj percent4  2 and    
7,b7 by adding at the end the following3
  7#c7 ,any determination regarding an  
award under this section may1 not later 
than #cj days after the date on which   
the determination is made1 be appealed  
to the appropriate court of appeals of  
the ,united ,states4  2  7#b7 by        
striking section #begb 7#ab ,u4,s4,c4   
#dbab7 and inserting the following3     
#begb4 ,protection for declarants  7a7  
,remedy ,a person may obtain all relief 
necessary to make the person whole if-- 
7#a7 an employer discharged1 demoted1   
suspended1 threatened1 harassed1 or in  
any other manner discriminated against  
the person in the terms and conditions  
of the employment of the person because 
of lawful acts taken by the person--    
7,a7 in furtherance of a prosecution    
under section #bae1 #bbe1 #bhg1 #fef1   
#feg1 #ajja1 #ajje1 #ajjf1 #ajjg1 #ajad1

 #ajcb1 #acda1 #acdc1 #acdd1 or #aeag of
 title #ah1 ,united ,states ,code2 and  
7,b7 including the provision of         
information that relates to1 initiates1 
or assists--  7i7 a prosecution         
described in subparagraph 7,a72 or  7ii7
 the investigation of or testimony in a 
prosecution described in subparagraph   
7,a72 and  7#b7 the person acted upon   
the direction of the employer of the    
person to deliberately cause the        
violation disclosed4  7b7 ,relief       
,relief under subsection 7a7 shall      
include-- 7#a7 reinstatement with the   
same seniority status2  7#b7 twice the  
amount of back pay and interest to which
 the person would have been entitled but
 for the action of the employer2 and    
7#c7 compensation for any special       
damages sustained as a result of the    
action of the employer1 including--     
7,a7 litigation costs2  7,b7 expert     
witness fees2 and  7,c7 reasonable      
attorneys fees4  7c7 ,burdens of proof  
,complaints for relief under this       

section shall be governed by the        
procedures1 evidentiary standards1 and  
burdens of proof under section #ajeg of 
the ,consumer ,financial ,protection    
,act of #bjaj 7#ab ,u4,s4,c4 #eefg74  2 
7#c7 in section #begc 7#ab ,u4,s4,c4    
#dbac7-- 7,a7 by striking ,the ,attorney
 ,general and inserting the following3  
7a7 ,in general ,the ,attorney ,general 
2 and  7,b7 by adding at the end the    
following3  7b7 ,education ,the         
,attorney ,general shall issue          
regulations requiring every employer    
covered under this ,act to provide      
education and training to the employees 
of the employer on the rights and       
remedies provided under this section1   
including by--  7#a7 providing          
individual notice to the employees2     
7#b7 posting information on the home    
page of the website of the employer2 and
  7#c7 providing mandatory training for 
the employees4  2  7#d7 in section #behj
 7#ab ,u4,s4,c4 #dbbe71 by striking     
subsection 7c7 and inserting the        

following3  7c7 ,share of assets ,when  
the ,united ,states recovers any asset  
specifically identified in a valid      
declaration filed under section #begf   
and the ,attorney ,general determines   
that the asset would not have been      
recovered if the declarant had not filed
 the declaration1 the declarant shall   
have the right to share in the recovery 
in the amount of1 with respect to the   
total amount of the recovery in the     
action or related actions--  7#a7 not   
less than #aj percent2 and  7#b7 not    
greater than #cj percent4  2 and  7#e7  
by striking section #behc 7#ab ,u4,s4,c4
 #dbbh7 and inserting the following3    
#behc4 ,review of action by the         
,attorney ,general ,any determination   
regarding an award under this chapter   
may1 not later than #cj days after the  
date on which the determination is made1
 be appealed to the appropriate court of
 appeals of the ,united ,states4  4  #c4
 ,federal ,deposit ,insurance ,act  ,the
 ,federal ,deposit ,insurance ,act 7#ab 

,u4,s4,c4 #ahaa et seq47 is amended--   
7#a7 in section #cc7;a7 7#ab ,u4,s4,c4  
#ahca;j7a77--  7,a7 in paragraph 7#a7-- 
7i7 in the matter preceding subparagraph
 7,a71 by inserting 7or refused to alter
 information previously provided7 after 
provided information2 and  7ii7 in      
subparagraph 7,a71 by striking a        
possible violation of any law or        
regulation and inserting a possible     
violation of any law1 regulation1 or    
agency statement of policy2 and  7,b7 in
 paragraph 7#b71 in the matter preceding
 subparagraph 7,a7--  7i7 by striking   
the ,corporation and inserting any such 
entity2  7ii7 by inserting 7or refused  
to alter information previously         
provided7 after provided information2   
and  7iii7 by striking any possible     
violation of any law or regulation and  
inserting any possible violation of any 
law1 regulation1 or agency statement of 
policy12 and  7#b7 in section #cd 7#ab  
,u4,s4,c4 #ahcak7--  7,a7 by striking   
subsection 7b7 and inserting the        

following3  7b7 ,percentage limitation  
,an appropriate ,federal banking agency1
 when paying a reward under subsection  
7a71 shall pay a reward equivalent to-- 
7#a7 not less than #aj percent of the   
amount of any fine1 penalty1            
restitution1 or forfeiture2 and  7#b7   
not greater than #cj percent of the     
amount of any fine1 penalty1            
restitution1 or forfeiture4  2 and  7,b7
 by striking subsection 7d7 and         
inserting the following3  7d7 ,review   
,any determination regarding an award   
under this section may1 not later than  
#cj days after the date on which the    
determination is made1 be appealed to   
the appropriate court of appeals of the 
,united ,states4  4  #d4 ,securities    
,exchange ,act of #aicd  ,section #ba;,f
 of the ,securities ,exchange ,act of   
#aicd 7#ae ,u4,s4,c4 #ghu-#f7 is        
amended-- 7#a7 in subsection 7a71 by    
striking paragraph 7#f72  7#b7 in       
subsection 7c77#a77;,b7-- 7,a7 in clause
 7i77,,iv71 by striking and at the end2 

7,b7 in clause 7ii71 by striking the    
period at the end and inserting a       
semicolon2 and  7,c7 by adding at the   
end the following3  7iii7 may not deny  
eligibility for an award that otherwise 
meets the requirements of this section  
if the information that forms the basis 
for the award is submitted not later    
than #ij days after a whistleblower     
gains knowledge of the disclosed        
misconduct2  7iv7 shall presume that a  
report made by a whistleblower is timely
 submitted2 and  7v7 may not reduce the 
award due to delay1 absent a finding    
that the disclosure was deliberately    
postponed because of--  7,i7 culpability
 of the whistleblower2  7,,ii7          
interference by the whistleblower with  
internal investigative processes2 or    
7,,iii7 attempts at self-enrichment by  
the whistleblower4  2  7#c7 in          
subsection 7h7-- 7,a7 in paragraph      
7#a7--  7i7 in subparagraph 7,a7-- 7,i7 
in the matter preceding clause 7i7--    
7aa7 by striking ,no employer and       

inserting ,no employer1 prospective     
employer1 or former employer1 as        
applicable12 and  7bb7 by striking a    
whistleblower in the terms and          
conditions of employment because of any 
lawful act done by the whistleblower and
 inserting a whistleblower with respect 
to the compensation1 terms1 conditions1 
or privileges of employment of the      
whistleblower because of any lawful act 
done by the whistleblower or perceived  
to have been done by the whistleblower  
7or any person acting pursuant to a     
request of the whistleblower71 whether  
at the initiative of the whistleblower  
or in the ordinary course of the duties 
of the whistleblower2  7,,ii7 in clause 
7ii7 by striking or at the end2  7,,iii7
 in clause 7iii7 by striking the period 
at the end and inserting a semicolon2   
and  7,,iv7 by adding at the end the    
following3  7iv7 in objecting to1 or    
refusing to participate in1 any         
activity1 policy1 practice1 or assigned 
task that the whistleblower 7or other   

such person7 reasonably believed to be  
in violation of any law1 rule1 order1   
standard1 or prohibition that is subject
 to the jurisdiction of1 or enforceable 
by1 the ,commission2 or  7v7 in         
providing1 preparing to provide1 or     
assisting in the provision of           
information to the employer1 prospective
 employer1 former employer1 a person    
with supervisory authority over the     
employee1 or another such person working
 for the employer with the authority to 
investigate1 discover1 or terminate as a
 result of misconduct relating to any   
violation of1 or any act or omission    
that the whistleblower believes to be a 
violation of any--  7,i7 provision of   
this title2  7,,ii7 other provision of  
law that is subject to the jurisdiction 
of the ,commission2 or  7,,iii7 rule1   
order1 standard1 or prohibition         
prescribed by the ,commission4  2  7ii7 
in subparagraph 7,b71 by adding at the  
end the following3  7iv7 ,burden of     
proof ,except as otherwise provided in  

this section1 complaints for relief     
shall be governed by the procedures1    
evidentiary standards1 and burdens of   
proof in section #ajeg of the ,consumer 
,financial ,protection ,act of #bjaj    
7#ab ,u4,s4,c4 #eefg74  2 and  7iii7 in 
subparagraph 7,c7-- 7,i7 in clause 7ii71
 by striking and at the end2  7,,ii7 in 
clause 7iii71 by striking the period at 
the end and inserting a semicolon2 and  
7,,iii7 by adding at the end the        
following3  7iv7 compensatory damages2  
and  7v7 punitive damages in an amount  
not greater than #bej1jjj4  2 and  7,b7 
in paragraph 7#b71 by striking          
subparagraph 7,a7 and inserting the     
following3  7,a7 ,in general ,except as 
provided in subparagraphs 7,b71 7,c71   
and 7,d71 neither the ,commission nor   
any officer or employee of the          
,commission may disclose any identifying
 information about a whistleblower who  
has provided information to the         
,commission--  7i7 unless the           
,commission has obtained the written    

consent of the whistleblower2  7ii7     
except in accordance with the provisions
 of section #eeb;a of title #e1 ,united 
,states ,code2 or  7iii7 unless required
 to be disclosed to a defendant or      
respondent in connection with a public  
proceeding instituted by the            
,commission4  2 and  7#d7 by adding at  
the end the following3  7k7             
,non-,waiverability of ,rights and      
,remedies ,an employer1 prospective     
employer1 or former employer1 as        
applicable1 may not take any action to  
impede an individual who is about to or 
has assisted or engaged in activity     
protected by this section1 including--  
7#a7 issuing1 proposing1 initiating1    
enforcing1 or threatening to enforce1 a 
confidentiality agreement 7other than   
agreements dealing with information     
covered by sections                     
#bdj4ba;,f-#d7;b77#d77;i7 and           
#bdj4ba;,f-#d7;b77#d77;ii7 of title #ag1
 ,code of ,federal ,regulations1 as in  
effect on the date of the enactment of  

this subsection7 with respect to such   
communications2  7#b7 initiating1       
enforcing1 or threatening to enforce any
 agreement1 policy1 form1 or condition  
of employment1 including by any         
predispute arbitration agreement1 that  
waives the rights and remedies provided 
under this section2  7#c7 requiring the 
individual to waive1 release1 or assign 
any monetary award that the individual  
may receive from the ,commission2  7#d7 
conditioning the right of the individual
 to receive any contractual or          
employment-related benefit on a waiver1 
release1 or assignment described in     
paragraph 7#c72  7#e7 requiring the     
individual to disclose to any private   
party whether the individual has1 or in 
the future intends to1 communicate with 
the staff of the ,commission about a    
possible violation of commodities law2  
7#f7 conditioning the right of the      
individual to receive any contractual or
 employment-related benefit on a        
representation that the individual has  

not communicated with1 or provided      
documents or other information1 to the  
staff of the ,commission2  7#g7 seeking 
civil or criminal liability for-- 7,a7  
acquiring and communicating information 
to the ,commission2 or  7,b7 engaging in
 other activity protected by this       
section2  7#h7 seeking professional     
discipline through loss of license1     
certification1 or other disciplinary    
activities for engaging in activity     
protected by this section2  7#i7 seeking
 professional discipline of attorneys   
for representation of activities        
protected by this section1 or any other 
action that obstructs the right to      
counsel of the individual2 and  7#aj7   
engaging in any other discrimination    
that would chill the exercise of        
activity protected by this section4  7l7
 ,internal compliance programs ,the     
,commission shall promulgate regulations
 requiring each employer-- 7#a7 to have 
a procedure in place for an employee1   
applicant for employment1 or former     

employee who believes that violations of
 this section have occurred or are      
occurring at the place of employment1   
place of prospective employment1 or     
place of former employment to report--  
7,a7 directly to the chief executive    
officer of the employer2  7,b7 to a     
representative appointed by and         
reporting directly to the chief         
executive officer who is specifically   
designated to receive such a report2 or 
7,c7 through a hotline consistent with  
professional best practices to the audit
 committee of the board of directors2   
and  7#b7 not to discriminate against an
 employee1 applicant for employment1 or 
former employee for making a report     
under paragraph 7#a74  7m7              
,extraterritoriality ,the protections   
provided by this section shall apply to 
foreign nationals living outside the    
,united ,states4  4  #e4 ,commodity     
,exchange ,act  ,section #bc of the     
,commodity ,exchange ,act 7#g ,u4,s4,c4 
#bf7 is amended-- 7#a7 in subsection    

7a71 by striking paragraph 7#g72  7#b7  
in subsection 7c77#a77;,b7-- 7,a7 in    
clause 7i77,,iv71 by striking and at the
 end2  7,b7 in clause 7ii71 by striking 
the period at the end and inserting a   
semicolon2 and  7,c7 by adding at the   
end the following3  7iii7 may not deny  
eligibility for an award that otherwise 
meets the requirements of this section  
if the information that forms the basis 
for the award is submitted not later    
than #ij days after a whistleblower     
gains knowledge of the disclosed        
misconduct2  7iv7 shall presume that a  
report made by a whistleblower is timely
 submitted2 and  7v7 may not reduce the 
award due to delay1 absent a finding    
that the disclosure was deliberately    
postponed because of--  7,i7 culpability
 of the whistleblower2  7,,ii7          
interference by the whistleblower with  
internal investigative processes2 or    
7,,iii7 attempts at self-enrichment by  
the whistleblower4  2  7#c7 in          
subsection 7h7-- 7,a7 in paragraph      

7#a7--  7i7 in subparagraph 7,a7-- 7,i7 
in the matter preceding clause 7i7--    
7aa7 by striking ,no employer and       
inserting ,no employer1 prospective     
employer1 or former employer1 as        
applicable12 and  7bb7 by striking a    
whistleblower in the terms and          
conditions of employment because of any 
lawful act done by the whistleblower and
 inserting a whistleblower with respect 
to the compensation1 terms1 conditions1 
or privileges of employment of the      
whistleblower because of any lawful act 
done by the whistleblower or perceived  
to have been done by the whistleblower  
7or any person acting pursuant to a     
request of the whistleblower71 whether  
at the initiative of the whistleblower  
or in the ordinary course of the duties 
of the whistleblower2  7,,ii7 in clause 
7i71 by striking or at the end2  7,,iii7
 in clause 7ii71 by striking the period 
at the end and inserting a semicolon2   
and  7,,iv7 by adding at the end the    
following3  7iii7 in objecting to1 or   

refusing to participate in1 any         
activity1 policy1 practice1 or assigned 
task the whistleblower 7or other such   
person7 reasonably believed to be in    
violation of any law1 rule1 order1      
standard1 or prohibition subject to the 
jurisdiction of1 or enforceable by1 the 
,commission2 or  7iv7 in providing1     
preparing to provide1 or assisting in   
the provision of information to the     
employer1 the former employer1 the      
prospective employer1 a person with     
supervisory authority over the employee1
 or another such person working for the 
employer with the authority to          
investigate1 discover1 or terminate as a
 result of misconduct relating to any   
violation of1 or any act or omission    
that the whistleblower believes to be a 
violation of any--  7,i7 provision of   
this title2  7,,ii7 other provision of  
law that is subject to the jurisdiction 
of the ,commission2 or  7,,iii7 rule1   
order1 standard1 or prohibition         
prescribed by the ,commission4  2  7ii7 

in subparagraph 7,b71 by adding at the  
end the following3  7iv7 ,burden of     
proof ,except as otherwise provided in  
this section1 complaints for relief     
shall be governed by the procedures1    
evidentiary standards1 and burdens of   
proof in section #ajeg of the ,consumer 
,financial ,protection ,act of #bjaj    
7#ab ,u4,s4,c4 #eefg74  2 and  7iii7 in 
subparagraph 7,c7-- 7,i7 in clause 7ii71
 by striking and at the end2  7,,ii7 in 
clause 7iii71 by striking the period at 
the end and inserting a semicolon2 and  
7,,iii7 by adding at the end the        
following3  7iv7 compensatory damages2  
and  7v7 punitive damages in an amount  
not greater than #bej1jjj4  2 and  7,b7 
in paragraph 7#b7-- 7i7 by striking     
subparagraph 7,a7 and inserting the     
following3  7,a7 ,in general ,except as 
provided in subparagraphs 7,b71 7,c71   
and 7,d71 neither the ,commission nor   
any officer or employee of the          
,commission may disclose any identifying
 information about a whistleblower who  

has provided information to the         
,commission--  7i7 unless the           
,commission has obtained the written    
consent of the whistleblower2  7ii7     
except in accordance with the provisions
 of section #eeb;a of title #e1 ,united 
,states ,code2 or  7iii7 unless required
 to be disclosed to a defendant or      
respondent in connection with a public  
proceeding instituted by the            
,commission4  2 and  7ii7 by adding at  
the end the following3  7,d7 ,exempted  
statute ,for purposes of section #eeb of
 title #e1 ,united ,states ,code1 this  
paragraph shall be considered a statute 
described in subsection 7b77#c77;,b7 of 
such section #eeb4  2 and  7#d7 by      
adding at the end the following3  7o7   
,non-,waiverability of rights and       
remedies ,an employer1 former employer1 
or prospective employer1 as applicable1 
may not take any action to impede an    
individual who is about to or has       
assisted or engaged in activity         
protected by this section1 including--  

7#a7 issuing1 proposing1 initiating1    
enforcing1 or threatening to enforce1 a 
confidentiality agreement 7other than   
agreements dealing with information     
covered by sections                     
#bdj4ba;,f-#d7;b77#d77;i7 and           
#bdj4ba;,f-#d7;b77#d77;ii7 of title #ag1
 ,code of ,federal ,regulations1 as in  
effect on the date of the enactment of  
this subsection7 with respect to such   
communications2  7#b7 initiating1       
enforcing1 or threatening to enforce any
 agreement1 policy1 form1 or condition  
of employment1 including by any         
predispute arbitration agreement1 that  
waives the rights and remedies provided 
for in this section2  7#c7 requiring the
 individual to waive1 release1 or assign
 any monetary award that the individual 
may receive from the ,commission2  7#d7 
conditioning the right of the individual
 to receive any contractual or          
employment-related benefit on a waiver1 
release1 or assignment described in     
paragraph 7#c72  7#e7 requiring the     

individual to disclose to any private   
party whether the individual has1 or in 
the future intends to1 communicate with 
the staff of the ,commission about a    
possible violation of this ,act2  7#f7  
conditioning the right of the individual
 to receive any contractual or          
employment-related benefit on a         
representation that the individual has  
not communicated with1 or provided      
documents or other information1 to the  
staff of the ,commission2  7#g7 seeking 
civil or criminal liability for-- 7,a7  
acquiring and communicating information 
to the ,commission2 or  7,b7 engaging in
 other activity protected by this       
section2  7#h7 seeking professional     
discipline through loss of license1     
certification1 or other disciplinary    
activities for engaging in activity     
protected by this section2  7#i7 seeking
 professional discipline of attorneys   
for representation of activities        
protected by this section1 or any other 
action that obstructs the right to      

counsel of the individual2 and  7#aj7   
engaging in any other discrimination    
that would chill the exercise of        
activity protected by this section4  7p7
 ,internal compliance programs ,the     
,commission shall issue regulations     
requiring each employer-- 7#a7 to have a
 procedure in place for an employee1    
applicant for employment1 or former     
employee who believes that violations of
 this section have occurred or are      
occurring at the place of employment1   
prospective employment1 or place of     
former employment to report--  7,a7     
directly to the chief executive officer 
of the employer2  7,b7 to a             
representative appointed by and         
reporting directly to the chief         
executive officer who is specifically   
designated to receive such a report2 or 
7,c7 through a hotline consistent with  
professional best practices to the audit
 committee of the board of directors2   
and  7#b7 not to discriminate against an
 employee1 applicant for employment1 or 

former employee for making a report     
under paragraph 7#a74  7q7              
,extraterritoriality ,the protections   
provided by this section shall apply to 
foreign nationals living outside the    
,united ,states4  4  #f4                
,sarbanes-,oxley ,act ,section #aead;,a 
of title #ah1 ,united ,states ,code1 is 
amended-- 7#a7 in subsection 7a7--  7,a7
 in the matter preceding paragraph 7#a71
 by striking in the terms and conditions
 of employment because of any lawful act
 done by the employee and inserting with
 respect to compensation1 terms1        
conditions1 or privileges of employment 
because of any lawful act done by an    
employee1 applicant for employment1 or  
former employee or perceived to have    
been done by an employee1 applicant for 
employment1 or former employee 7or any  
person acting pursuant to the request of
 such an individual71 whether at the    
initiative of the employee1 applicant   
for employment1 or former employee or in
 the ordinary course of the duties of   

the employee1 applicant for employment1 
or former employee2  7,b7 in paragraph  
7#a77;,c71 by striking 2 or and         
inserting a semicolon2  7,c7 in         
paragraph 7#b71 by striking the period  
at the end and inserting a semicolon2   
and  7,d7 by adding at the end the      
following3  7#c7 in objecting to1 or    
refusing to participate in1 any         
activity1 policy1 practice1 or assigned 
task the employee1 applicant for        
employment1 or former employee 7or other
 such person7 reasonably believed to be 
in violation of any law1 rule1 order1   
standard1 or prohibition subject to the 
jurisdiction of or enforced by the      
,securities and ,exchange ,commission2  
or  7#d7 in providing1 preparing to     
provide1 or assisting in the provision  
of information to the employer or a     
person with supervisory authority over  
the employee1 applicant for employment1 
or former employee 7or such other person
 working for the employer who has the   
authority to investigate1 discover1 or  

terminate employment as a result of     
misconduct7 relating to any violation   
of1 or any act or omission that the     
employee1 applicant for employment1 or  
former employee believes to be a        
violation of any--  7,a7 provision of   
this title2  7,b7 provision of law that 
is subject to the jurisdiction of the   
,securities and ,exchange ,commission2  
or  7,c7 rule1 order1 standard1 or      
prohibition prescribed by the           
,commission4  2  7#b7 in subsection     
7c7-- 7,a7 in paragraph 7#b77;,b71 by   
inserting double before the amount of2  
and  7,b7 by adding at the end the      
following3  7#c7 ,punitive damages      
,relief for any action under paragraph  
7#a7 may include punitive damages in an 
amount not greater than #bej1jjj4  2 and
  7#c7 by adding at the end the         
following3  7f7 ,confidentiality        
,neither the ,securities and ,exchange  
,commission1 the ,secretary of ,labor1  
nor any officer or employee of the      
,commission or the ,secretary may       

disclose any identifying information    
about an employee1 applicant for        
employment1 or former employee described
 in subsection 7a7 who has provided     
information to the ,commission or the   
,secretary--  7#a7 unless the           
,commission or the ,secretary has       
obtained the written consent of the     
employee1 applicant for employment1 or  
former employee2  7#b7 except in        
accordance with the provisions of       
section #eeb;a of title #e2 or  7#c7    
unless required to be disclosed to a    
defendant or respondent in connection   
with a public proceeding instituted by  
the ,commission or the ,secretary4  4