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Title 17--Commodity and Securities Exchanges
CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
PART 201--RULES OF PRACTICE
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 | 201.31 | Purpose of these rules. |
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| 201.32 | When the Act applies. |
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| 201.33 | Proceedings covered. |
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| 201.34 | Eligibility of applicants. |
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| 201.35 | Standards for awards. |
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| 201.36 | Allowable fees and expenses. |
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| 201.37 | Delegations of authority. |
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| 201.41 | Contents of application. |
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| 201.42 | Net worth exhibit. |
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| 201.43 | Documentation of fees and expenses. |
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| 201.44 | When an application may be filed. |
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| 201.51 | Filing and service of documents. |
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| 201.52 | Answer to application. |
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| 201.53 | Reply. |
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| 201.54 | Settlement. |
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| 201.55 | Further proceedings. |
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| 201.56 | Decision. |
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| 201.57 | Commission review. |
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| 201.58 | Judicial review. |
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| 201.59 | Payment of award. |
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| 201.61 | Scope of subpart. |
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| 201.62 | Application required. |
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| 201.63 | Time and place of filing. |
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| 201.64 | Form of application and information required. |
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| 201.65 | Identity and signature. |
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| 201.66 | Notice to applicants. |
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| 201.67 | Applications by legal guardians. |
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| 201.68 | No promises of payment. |
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| 201.100 | Scope of the rules of practice. |
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| 201.101 | Definitions. |
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| 201.102 | Appearance and practice before the Commission. |
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| 201.103 | Construction of rules. |
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| 201.104 | Business hours. |
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| 201.110 | Presiding officer. |
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| 201.111 | Hearing officer: Authority. |
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| 201.112 | Hearing officer: Disqualification and withdrawal. |
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| 201.120 | Ex parte communications. |
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| 201.121 | Separation of functions. |
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| 201.140 | Commission orders and decisions: Signature and availability. |
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| 201.141 | Orders and decisions: Service of orders instituting proceeding and other orders and decisions. |
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| 201.150 | Service of papers by parties. |
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| 201.151 | Filing of papers with the Commission: Procedure. |
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| 201.152 | Filing of papers: Form. |
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| 201.153 | Filing of papers: Signature requirement and effect. |
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| 201.154 | Motions. |
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| 201.155 | Default; motion to set aside default. |
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| 201.160 | Time computation. |
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| 201.161 | Extensions of time, postponements and adjournments. |
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| 201.180 | Sanctions. |
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| 201.190 | Confidential treatment of information in certain filings. |
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| 201.191 | Adjudications not required to be determined on the record after notice and opportunity for hearing. |
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| 201.192 | Rulemaking: Issuance, amendment and repeal of rules of general application. |
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| 201.193 | Applications by barred individuals for consent to associate. |
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| 201.200 | Initiation of proceedings. |
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| 201.201 | Consolidation of proceedings. |
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| 201.202 | Specification of procedures by parties in certain proceedings. |
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| 201.210 | Parties, limited participants and amici curiae. |
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| 201.220 | Answer to allegations. |
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| 201.221 | Prehearing conference. |
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| 201.222 | Prehearing submissions. |
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| 201.230 | Enforcement and disciplinary proceedings: Availability of documents for inspection and copying. |
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| 201.231 | Enforcement and disciplinary proceedings: Production of witness statements. |
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| 201.232 | Subpoenas. |
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| 201.233 | Depositions upon oral examination. |
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| 201.234 | Depositions upon written questions. |
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| 201.235 | Introducing prior sworn statements of witnesses into the record. |
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| 201.240 | Settlement. |
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| 201.250 | Motion for summary disposition. |
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| 201.300 | Hearings. |
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| 201.301 | Hearings to be public. |
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| 201.302 | Record of hearings. |
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| 201.310 | Failure to appear at hearings: Default. |
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| 201.320 | Evidence: Admissibility. |
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| 201.321 | Evidence: Objections and offers of proof. |
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| 201.322 | Evidence: Confidential information, protective orders. |
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| 201.323 | Evidence: Official notice. |
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| 201.324 | Evidence: Stipulations. |
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| 201.325 | Evidence: Presentation under oath or affirmation. |
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| 201.326 | Evidence: Presentation, rebuttal and cross-examination. |
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| 201.340 | Proposed findings, conclusions and supporting briefs. |
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| 201.350 | Record in proceedings before hearing officer; retention of documents; copies. |
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| 201.351 | Transmittal of documents to Secretary; record index; certification. |
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| 201.360 | Initial decision of hearing officer. |
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| 201.400 | Interlocutory review. |
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| 201.401 | Issuance of stays. |
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| 201.410 | Appeal of initial decisions by hearing officers. |
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| 201.411 | Commission consideration of initial decisions by hearing officers. |
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| 201.420 | Appeal of determinations by self-regulatory organizations. |
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| 201.421 | Commission consideration of determinations by self-regulatory organizations. |
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| 201.430 | Appeal of actions made pursuant to delegated authority. |
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| 201.431 | Commission consideration of actions made pursuant to delegated authority. |
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| 201.450 | Briefs filed with the Commission. |
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| 201.451 | Oral argument before the Commission. |
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| 201.452 | Additional evidence. |
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| 201.460 | Record before the Commission. |
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| 201.470 | Reconsideration. |
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| 201.490 | Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1). |
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| 201.500 | Expedited consideration of proceedings. |
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| 201.510 | Temporary cease-and-desist orders: Application process. |
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| 201.511 | Temporary cease-and-desist orders: Notice; procedures for hearing. |
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| 201.512 | Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing. |
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| 201.513 | Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing. |
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| 201.514 | Temporary cease-and-desist orders: Judicial review; duration. |
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| 201.520 | Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application. |
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| 201.521 | Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application. |
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| 201.522 | Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order. |
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| 201.524 | Suspension of registrations: Duration. |
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| 201.530 | Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision. |
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| 201.531 | Initial decision on permanent order: Effect on temporary order. |
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| 201.540 | Appeal and Commission review of initial decision making a temporary order permanent. |
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| 201.550 | Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). |
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| 201.600 | Interest on sums disgorged. |
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| 201.601 | Prompt payment of dis&chyph;gorge&chyph;ment, interest and penalties. |
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| 201.610 | Submission of proposed plan of disgorgement. |
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| 201.611 | Contents of plan of dis&chyph;gorge&chyph;ment; provisions for payment. |
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| 201.612 | Notice of proposed plan of disgorgement and opportunity for comment by non-parties. |
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| 201.613 | Order approving, modifying or disapproving proposed plan of disgorgement. |
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| 201.614 | Administration of plan of dis&chyph;gorge&chyph;ment. |
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| 201.620 | Right to challenge order of disgorgement. |
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| 201.630 | Inability to pay dis&chyph;gorge&chyph;ment, interest or penalties. |
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| 201.900 | Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings. |
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| 201.1001 | Adjustment of civil monetary penalties--1996. |
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| 201.1002 | Adjustment of civil monetary penalties--2001. |
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