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U.S. Code of Federal Regula...
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Title 17—Commodity and Secu...
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CHAPTER II—SECURITIES AND E...
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PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND ...
PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
§ 200.1 - General statement and statutory authority.
§ 200.2 - Statutory functions.
§ 200.10 - The Commission.
§ 200.11 - Headquarters Office—Regional Office relationships.
§ 200.12 - Functional responsibilities.
§ 200.13 - Chief Operating Officer.
§ 200.13a - The Secretary of the Commission.
§ 200.13b - Director of the Office of Public Affairs, Policy Evaluation, and Research.
§ 200.14 - Office of Administrative Law Judges.
§ 200.15 - Office of International Affairs.
§ 200.16 - Executive Assistant to the Chairman.
§ 200.16a - Inspector General.
§ 200.17 - Chief Management Analyst.
§ 200.18 - Director of Division of Corporation Finance.
§ 200.19a - Director of the Division of Trading and Markets.
§ 200.19b - Director of the Division of Enforcement.
§ 200.19c - Director of the Office of Compliance Inspections and Examinations.
§ 200.19d - Director of the Office of Municipal Securities.
§ 200.20b - Director of Division of Investment Management.
§ 200.21 - The General Counsel.
§ 200.21a - The Ethics Counsel.
§ 200.22 - The Chief Accountant.
§ 200.23a - Office of Economic Analysis.
§ 200.23b - Office of Financial Management.
§ 200.24 - Office of Financial Management.
§ 200.24a - Director of the Office of Consumer Affairs.
§§ 200.25-200.26 - Office of Information Technology.
§ 200.26a - Office of Information Technology.
§ 200.27 - The Regional Directors.
§ 200.28 - Issuance of instructions.
§ 200.29 - Rules.
§ 200.30-1 - Delegation of authority to Director of Division of Corporation Finance.
§ 200.30-3 - Delegation of authority to Director of Division of Trading and Markets.
§ 200.30-3 - Delegation of authority to Director of Division of Trading and Markets.
§ 200.30-3a - Delegation of authority to Director of the Office of Municipal Securities.
§ 200.30-4 - Delegation of authority to Director of Division of Enforcement.
§ 200.30-5 - Delegation of authority to Director of Division of Investment Management.
§ 200.30-6 - Delegation of authority to Regional Directors.
§ 200.30-7 - Delegation of authority to Secretary of the Commission.
§ 200.30-8 - Delegation of authority to hearing officers.
§ 200.30-9 - Delegation of authority to hearing officers.
§ 200.30-10 - Delegation of authority to Chief Administrative Law Judge.
§ 200.30-11 - Delegation of authority to the Chief Accountant.
§ 200.30-12 - Delegation of authority to Chief Financial Officer.
§ 200.30-13 - Delegation of authority to Chief Financial Officer.
§ 200.30-14 - Delegation of authority to the General Counsel.
§ 200.30-15 - Delegation of authority to Chief Operating Officer.
§ 200.30-16 - Delegation of authority to Executive Assistant to the Chairman.
§ 200.30-17 - Delegation of authority to Director of Office of International Affairs.
§ 200.30-18 - Delegation of authority to Director of the Office of Compliance Inspections and Examinations.
§ 200.40 - Joint disposition of business by Commission meeting.
§ 200.41 - Quorum of the Commission.
§ 200.42 - Disposition of business by seriatim Commission consideration.
§ 200.43 - Disposition of business by exercise of authority delegated to individual Commissioner.
§ 200.50 - Authority.
§ 200.51 - Policy.
§ 200.52 - Copies of the Canons.
§ 200.53 - Preamble.
§ 200.54 - Constitutional obligations.
§ 200.55 - Statutory obligations.
§ 200.56 - Personal conduct.
§ 200.57 - Relationships with other members.
§ 200.58 - Maintenance of independence.
§ 200.59 - Relationship with persons subject to regulation.
§ 200.60 - Qualification to participate in particular matters.
§ 200.61 - Impressions of influence.
§ 200.62 - Ex parte communications.
§ 200.63 - Commission opinions.
§ 200.64 - Judicial review.
§ 200.65 - Legislative proposals.
§ 200.66 - Investigations.
§ 200.67 - Power to adopt rules.
§ 200.68 - Promptness.
§ 200.69 - Conduct toward parties and their counsel.
§ 200.70 - Business promotions.
§ 200.71 - Fiduciary relationships.
§ 200.72 - Supervision of internal organization.
§ 200.80 - Securities and Exchange Commission records and information.
§ 200.81 - Publication of interpretative, no-action and certain exemption letters and other written communications.
§ 200.82 - Public availability of materials filed pursuant to § 240.14a-8(d) and related materials.
§ 200.82a - Public availability of materials filed pursuant to § 240.14a-11(g) and related materials.
§ 200.83 - Confidential treatment procedures under the Freedom of Information Act.
§ 200.110 - Purpose.
§ 200.111 - Prohibitions; application; definitions.
§ 200.112 - Duties of recipient; notice to participants.
§ 200.113 - Opportunity to respond; interception.
§ 200.114 - Sanctions.
§ 200.200 - Purpose.
§ 200.201 - General provisions.
§ 200.202 - Offices, and information and submittals.
§ 200.203 - Organization, and delegations of authority.
§ 200.204 - Personnel, fiscal, and service functions.
§ 200.205 - Effect upon existing Commission organization, delegations, and rules.
§ 200.301 - Purpose and scope.
§ 200.302 - Definitions.
§ 200.303 - Times, places and requirements for requests pertaining to individual records in a record system and for the identification of individuals making requests for access to the records pertaining to them.
§ 200.304 - Disclosure of requested records.
§ 200.305 - Special procedure: Medical records.
§ 200.306 - Requests for amendment or correction of records.
§ 200.307 - Review of requests for amendment or correction.
§ 200.308 - Appeal of initial adverse agency determination as to access or as to amendment or correction.
§ 200.309 - General provisions.
§ 200.310 - Fees.
§ 200.311 - Penalties.
§ 200.312 - Specific exemptions.
§ 200.313 - Inspector General exemptions.
§ 200.400 - Open meetings.
§ 200.401 - Definitions.
§ 200.402 - Closed meetings.
§ 200.403 - Notice of Commission meetings.
§ 200.404 - General procedure for determination to close meeting.
§ 200.405 - Special procedure for determination to close meeting.
§ 200.406 - Certification by the General Counsel.
§ 200.407 - Transcripts, minutes, and other documents concerning closed Commission meetings.
§ 200.408 - Public access to transcripts and minutes of closed Commission meetings; record retention.
§ 200.409 - Administrative appeals.
§ 200.410 - Miscellaneous.
§ 200.500 - Purpose.
§ 200.501 - Applicability.
§ 200.502 - Definition.
§ 200.503 - Senior agency official.
§ 200.504 - Oversight Committee.
§ 200.505 - Original classification.
§ 200.506 - Derivative classification.
§ 200.507 - Declassification dates on derivative documents.
§ 200.508 - Requests for mandatory review for declassification.
§ 200.509 - Challenge to classification by Commission employees.
§ 200.510 - Access by historical researchers.
§ 200.511 - Access by former Presidential appointees.
§ 200.550 - Purpose.
§ 200.551 - Applicability.
§ 200.552 - NEPA planning.
§ 200.553 - Draft, final and supplemental impact statements.
§ 200.554 - Public availability of information.
§ 200.601 - Purpose.
§ 200.602 - Application.
§ 200.603 - Definitions.
§§ 200.604-200.609 - Self-evaluation.
§ 200.610 - Self-evaluation.
§ 200.611 - Notice.
§§ 200.612-200.629 - General prohibitions against discrimination.
§ 200.630 - General prohibitions against discrimination.
§§ 200.631-200.639 - Employment.
§ 200.640 - Employment.
§§ 200.641-200.648 - Program accessibility: Discrimination prohibited.
§ 200.649 - Program accessibility: Discrimination prohibited.
§ 200.650 - Program accessibility: Existing facilities.
§ 200.651 - Program accessibility: New construction and alterations.
§§ 200.652-200.659 - Communications.
§ 200.660 - Communications.
§§ 200.661-200.669 - Compliance procedures.
§ 200.670 - Compliance procedures.
§§ 200.671-200.699 - Purpose.
§ 200.735-1 - Purpose.
§ 200.735-2 - Policy.
§ 200.735-3 - General provisions.
§ 200.735-4 - Outside employment and activities.
§ 200.735-5 - Securities transactions.
§ 200.735-6 - Action in case of personal interest.
§ 200.735-7 - Negotiation for employment.
§ 200.735-8 - Practice by former members and employees of the Commission.
§ 200.735-9 - Indebtedness.
§ 200.735-10 - Miscellaneous statutory provisions.
§ 200.735-11 - Statement of employment and financial interests.
§ 200.735-12 - Special Government employees.
§ 200.735-13 - Disciplinary and other remedial action.
§ 200.735-14 - Employees on leave of absence.
§ 200.735-15 - Interpretive and advisory service.
§ 200.735-16 - Delegation.
§ 200.735-17 - Administration of the conduct regulation.
§ 200.735-18 - Requests for waivers.
§ 200.800 - OMB control numbers assigned pursuant to the Paperwork Reduction Act.