17 CFR Part 201
PART 201—RULES OF PRACTICE
- PART 201—RULES OF PRACTICE
- Chapter II—Securities and Exchange Commission
- Subpart A [Reserved]
- Subpart B—Regulations Pertaining to the Equal Access to Justice Act
- § 201.31 Purpose of these rules.
- § 201.32 When the Act applies.
- § 201.33 Proceedings covered.
- § 201.34 Eligibility of applicants.
- § 201.35 Standards for awards.
- § 201.36 Allowable fees and expenses.
- § 201.37 Delegations of authority.
- § 201.41 Contents of application.
- § 201.42 Net worth exhibit.
- § 201.43 Documentation of fees and expenses.
- § 201.44 When an application may be filed.
- § 201.51 Filing and service of documents.
- § 201.52 Answer to application.
- § 201.53 Reply.
- § 201.54 Settlement.
- § 201.55 Further proceedings.
- § 201.56 Decision.
- § 201.57 Commission review.
- § 201.58 Judicial review.
- § 201.59 Payment of award.
- § 201.60 [Reserved]
- Subpart C [Reserved]
- Subpart D—Rules of Practice
- General Rules
- § 201.100 Scope of the rules of practice.
- § 201.101 Definitions.
- § 201.102 Appearance and practice before the Commission.
- § 201.103 Construction of rules.
- § 201.104 Business hours.
- § 201.110 Presiding officer.
- § 201.111 Hearing officer: Authority.
- § 201.112 Hearing officer: Disqualification and withdrawal.
- § 201.120 Ex parte communications.
- § 201.121 Separation of functions.
- § 201.140 Commission orders and decisions: Signature and availability.
- § 201.141 Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
- § 201.150 Service of papers by parties.
- § 201.151 Filing of papers with the Commission: Procedure.
- § 201.152 Filing of papers: Form.
- § 201.153 Filing of papers: Signature requirement and effect.
- § 201.154 Motions.
- § 201.155 Default; motion to set aside default.
- § 201.160 Time computation.
- § 201.161 Extensions of time, postponements and adjournments.
- § 201.180 Sanctions.
- § 201.190 Confidential treatment of information in certain filings.
- § 201.191 Adjudications not required to be determined on the record after notice and opportunity for hearing.
- § 201.192 Rulemaking: Issuance, amendment and repeal of rules of general application.
- § 201.193 Applications by barred individuals for consent to associate.
- § 201.194 Applications by security-based swap dealers or major security-based swap participants for statutorily disqualified associated persons to effect or be involved in effecting security-based swaps.
- Initiation of Proceedings and Prehearing Rules
- § 201.200 Initiation of proceedings.
- § 201.201 Consolidation and severance of proceedings.
- § 201.202 Specification of procedures by parties in certain proceedings.
- § 201.210 Parties, limited participants and amici curiae.
- § 201.220 Answer to allegations.
- § 201.221 Prehearing conference.
- § 201.222 Prehearing submissions and disclosures.
- § 201.230 Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.
- § 201.231 Enforcement and disciplinary proceedings: Production of witness statements.
- § 201.232 Subpoenas.
- § 201.233 Depositions upon oral examination.
- § 201.234 Depositions upon written questions.
- § 201.235 Introducing prior sworn statements or declarations.
- § 201.240 Settlement.
- § 201.250 Dispositive motions.
- Rules Regarding Hearings
- § 201.300 Hearings.
- § 201.301 Hearings to be public.
- § 201.302 Record of hearings.
- § 201.310 Failure to appear at hearings: Default.
- § 201.320 Evidence: Admissibility.
- § 201.321 Evidence: Objections and offers of proof.
- § 201.322 Evidence: Confidential information, protective orders.
- § 201.323 Evidence: Official notice.
- § 201.324 Evidence: Stipulations.
- § 201.325 Evidence: Presentation under oath or affirmation.
- § 201.326 Evidence: Presentation, rebuttal and cross-examination.
- § 201.340 Proposed findings, conclusions and supporting briefs.
- § 201.350 Record in proceedings before hearing officer; retention of documents; copies.
- § 201.351 Transmittal of documents to Secretary; record index; electronic copy of exhibits; certification.
- § 201.360 Initial decision of hearing officer and timing of hearing.
- Appeal to the Commission and Commission Review
- § 201.400 Interlocutory review.
- § 201.401 Consideration of stays.
- § 201.410 Appeal of initial decisions by hearing officers.
- § 201.411 Commission consideration of initial decisions by hearing officers.
- § 201.420 Appeal of determinations by self-regulatory organizations.
- § 201.421 Commission consideration of determinations by self-regulatory organizations.
- § 201.430 Appeal of actions made pursuant to delegated authority.
- § 201.431 Commission consideration of actions made pursuant to delegated authority.
- § 201.440 Appeal of determinations by the Public Company Accounting Oversight Board.
- § 201.441 Commission consideration of Board determinations.
- § 201.442 Appeal of determination by security-based swap execution facility.
- § 201.443 Commission consideration of security-based swap execution facility determinations.
- § 201.450 Briefs filed with the Commission.
- § 201.451 Oral argument before the Commission.
- § 201.452 Additional evidence.
- § 201.460 Record before the Commission.
- § 201.470 Reconsideration.
- § 201.490 Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).
- Rules Relating to Temporary Orders and Suspensions
- § 201.500 Expedited consideration of proceedings.
- § 201.510 Temporary cease-and-desist orders: Application process.
- § 201.511 Temporary cease-and-desist orders: Notice; procedures for hearing.
- § 201.512 Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.
- § 201.513 Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.
- § 201.514 Temporary cease-and-desist orders: Judicial review; duration.
- § 201.520 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.
- § 201.521 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.
- § 201.522 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.
- § 201.523 [Reserved]
- § 201.524 Suspension of registrations: Duration.
- § 201.530 Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.
- § 201.531 Initial decision on permanent order: Effect on temporary order.
- § 201.540 Appeal and Commission review of initial decision making a temporary order permanent.
- § 201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
- Rules Regarding Disgorgement and Penalty Payments
- § 201.600 Interest on sums disgorged.
- § 201.601 Prompt payment of disgorgement, interest and penalties.
- §§ 201.610-201.614 [Reserved]
- § 201.620 [Reserved]
- § 201.630 Inability to pay disgorgement, interest or penalties.
- § 201.700 Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments.
- § 201.701 Issuance of order.
- Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings
- § 201.900 Informal procedures and supplementary information concerning adjudicatory proceedings.
- Subpart E—Adjustment of Civil Monetary Penalties
- § 201.1001 Adjustment of civil monetary penalties.
- Subpart F—Fair Fund and Disgorgement Plans
- § 201.1100 Creation of Fair Fund.
- § 201.1101 Submission of plan of distribution; contents of plan.
- § 201.1102 Provisions for payment.
- § 201.1103 Notice of proposed plan and opportunity for comment by non-parties.
- § 201.1104 Order approving, modifying, or disapproving proposed plan.
- § 201.1105 Administration of plan.
- § 201.1106 Right to challenge.
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