Individuals & Families
Small Businesses
Nonprofits
Employers
Employee Benefits Brokers
PEOs
Credit Unions
Membership Groups
Legal Information
Sign In
/
U.S. Code of Federal Regula...
/
Title 17—Commodity and Secu...
/
CHAPTER II—SECURITIES AND E...
/
PART 201—RULES OF PRACTICE
PART 201—RULES OF PRACTICE
§ 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 - Scope of the rules of practice.
§ 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.
§ 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.
§ 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; certification.
§ 201.360 - Initial decision of hearing officer and timing of hearing.
§ 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.
§ 201.450 - 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).
§ 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 - Suspension of registrations: Duration.
§ 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).
§ 201.600 - Interest on sums disgorged.
§ 201.601 - Prompt payment of disgorgement, interest and penalties.
§§ 201.610-201.614 - Inability to pay disgorgement, interest or penalties.
§ 201.620 - Inability to pay disgorgement, interest or penalties.
§ 201.630 - Inability to pay disgorgement, interest or penalties.
§ 201.700 - Initiation of proceedings for SRO proposed rule changes.
§ 201.701 - Issuance of order.
§ 201.900 - Informal procedures and supplementary information concerning adjudicatory proceedings.
§ 201.1001 - Adjustment of civil monetary penalties.
§ 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.