2000 CFR Title 21, Volume 8

Title 17--Commodity and Securities Exchanges CHAPTER II--SECURITIES AND EXCHANGE COMMISSION 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 and District Office relationships.
	200.12	Functional responsibilities.
	200.13	Executive Director.
	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 Market Regulation.
	200.19b	Director of the Division of Enforcement.
	200.19c	Director of the Office of Compliance Inspections and Examinations.
	200.20b	Director of Division of Investment Management.
	200.20c	Office of Filings and Information Services.
	200.21	The General Counsel.
	200.21a	The Ethics Counsel.
	200.22	The Chief Accountant.
	200.23a	Office of Economic Analysis.
	200.24	Office of the Comptroller.
	200.24a	Director of the Office of Consumer Affairs.
	200.25	Office of Administrative and Personnel Management.
	200.26a	Office of Information Technology.
	200.27	The Regional Directors.
	200.27a	The District Administrators.
	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 Market Regulation.
	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.
	200.30-6a	Delegation of authority to District Administrators.
	200.30-7	Delegation of authority to Secretary of the Commission.
	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 Associate Executive Director of the Office of Filings and Information Services.
	200.30-13	Delegation of authority to Associate Executive Director of the Office of the Comptroller.
	200.30-14	Delegation of authority to the General Counsel.
	200.30-15	Delegation of authority to Executive Director.
	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	Commission records and information.
	200.80a	Appendix A--Documentary materials available to the public.
	200.80b	Appendix B--SEC releases.
	200.80c	Appendix C--Rules and miscellaneous publications available from the Government Printing Office.
	200.80d	Appendix D--Other publications available from the Commission.
	200.80e	Appendix E--Schedule of fees for records services.
	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.
	200.83	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	Emergency conditions, effective date, and duration.
	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.
	200.610	Self-evaluation.
	200.611	Notice.
	200.630	General prohibitions against discrimination.
	200.640	Employment.
	200.649	Program accessibility: Discrimination prohibited.
	200.650	Program accessibility: Existing facilities.
	200.651	Program accessibility: New construction and alterations.
	200.660	Communications.
	200.670	Compliance procedures.
	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.