Title 17

PART 201

Part 201 - Rules Of Practice

PART 201 - RULES OF PRACTICE Authority:15 U.S.C. 77f, 77g, 77h, 77h-1, 77j, 77s, 77u, 78c(b), 78d-1, 78d-2, 78l, 78m, 78n, 78o(d), 78o-3, 78s, 78u-2, 78u-3, 78v, 78w, 77sss, 77ttt, 80a-8, 80a-9, 80a-37, 80a-38, 80a-39, 80a-40, 80a-41, 80a-44, 80b-3, 80b-9, 80b-11, 80b-12, 7202, 7215, and 7217. Source:47 FR 610, Jan. 6, 1982, unless otherwise noted.

17:3.0.1.1.2.1SUBPART A
Subpart A [Reserved]
17:3.0.1.1.2.2SUBPART B
Subpart B - Regulations Pertaining to the Equal Access to Justice Act
17:3.0.1.1.2.2.10.1SECTION 201.31
   201.31 Purpose of these rules.
17:3.0.1.1.2.2.10.2SECTION 201.32
   201.32 When the Act applies.
17:3.0.1.1.2.2.10.3SECTION 201.33
   201.33 Proceedings covered.
17:3.0.1.1.2.2.10.4SECTION 201.34
   201.34 Eligibility of applicants.
17:3.0.1.1.2.2.10.5SECTION 201.35
   201.35 Standards for awards.
17:3.0.1.1.2.2.10.6SECTION 201.36
   201.36 Allowable fees and expenses.
17:3.0.1.1.2.2.10.7SECTION 201.37
   201.37 Delegations of authority.
17:3.0.1.1.2.2.10.8SECTION 201.41
   201.41 Contents of application.
17:3.0.1.1.2.2.10.9SECTION 201.42
   201.42 Net worth exhibit.
17:3.0.1.1.2.2.10.10SECTION 201.43
   201.43 Documentation of fees and expenses.
17:3.0.1.1.2.2.10.11SECTION 201.44
   201.44 When an application may be filed.
17:3.0.1.1.2.2.10.12SECTION 201.51
   201.51 Filing and service of documents.
17:3.0.1.1.2.2.10.13SECTION 201.52
   201.52 Answer to application.
17:3.0.1.1.2.2.10.14SECTION 201.53
   201.53 Reply.
17:3.0.1.1.2.2.10.15SECTION 201.54
   201.54 Settlement.
17:3.0.1.1.2.2.10.16SECTION 201.55
   201.55 Further proceedings.
17:3.0.1.1.2.2.10.17SECTION 201.56
   201.56 Decision.
17:3.0.1.1.2.2.10.18SECTION 201.57
   201.57 Commission review.
17:3.0.1.1.2.2.10.19SECTION 201.58
   201.58 Judicial review.
17:3.0.1.1.2.2.10.20SECTION 201.59
   201.59 Payment of award.
17:3.0.1.1.2.2.10.21SECTION 201.60
   201.60 [Reserved]
17:3.0.1.1.2.3SUBPART C
Subpart C [Reserved]
17:3.0.1.1.2.4SUBPART D
Subpart D - Rules of Practice
17:3.0.1.1.2.4.10SUBJGRP 10
   General Rules
17:3.0.1.1.2.4.10.1SECTION 201.100
   201.100 Scope of the rules of practice.
17:3.0.1.1.2.4.10.2SECTION 201.101
   201.101 Definitions.
17:3.0.1.1.2.4.10.3SECTION 201.102
   201.102 Appearance and practice before the Commission.
17:3.0.1.1.2.4.10.4SECTION 201.103
   201.103 Construction of rules.
17:3.0.1.1.2.4.10.5SECTION 201.104
   201.104 Business hours.
17:3.0.1.1.2.4.10.6SECTION 201.110
   201.110 Presiding officer.
17:3.0.1.1.2.4.10.7SECTION 201.111
   201.111 Hearing officer: Authority.
17:3.0.1.1.2.4.10.8SECTION 201.112
   201.112 Hearing officer: Disqualification and withdrawal.
17:3.0.1.1.2.4.10.9SECTION 201.120
   201.120 Ex parte communications.
17:3.0.1.1.2.4.10.10SECTION 201.121
   201.121 Separation of functions.
17:3.0.1.1.2.4.10.11SECTION 201.140
   201.140 Commission orders and decisions: Signature and availability.
17:3.0.1.1.2.4.10.12SECTION 201.141
   201.141 Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
17:3.0.1.1.2.4.10.13SECTION 201.150
   201.150 Service of papers by parties.
17:3.0.1.1.2.4.10.14SECTION 201.151
   201.151 Filing of papers with the Commission: Procedure.
17:3.0.1.1.2.4.10.15SECTION 201.152
   201.152 Filing of papers: Form.
17:3.0.1.1.2.4.10.16SECTION 201.153
   201.153 Filing of papers: Signature requirement and effect.
17:3.0.1.1.2.4.10.17SECTION 201.154
   201.154 Motions.
17:3.0.1.1.2.4.10.18SECTION 201.155
   201.155 Default; motion to set aside default.
17:3.0.1.1.2.4.10.19SECTION 201.160
   201.160 Time computation.
17:3.0.1.1.2.4.10.20SECTION 201.161
   201.161 Extensions of time, postponements and adjournments.
17:3.0.1.1.2.4.10.21SECTION 201.180
   201.180 Sanctions.
17:3.0.1.1.2.4.10.22SECTION 201.190
   201.190 Confidential treatment of information in certain filings.
17:3.0.1.1.2.4.10.23SECTION 201.191
   201.191 Adjudications not required to be determined on the record after notice and opportunity for hearing.
17:3.0.1.1.2.4.10.24SECTION 201.192
   201.192 Rulemaking: Issuance, amendment and repeal of rules of general application.
17:3.0.1.1.2.4.10.25SECTION 201.193
   201.193 Applications by barred individuals for consent to associate.
17:3.0.1.1.2.4.10.26SECTION 201.194
   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.
17:3.0.1.1.2.4.11SUBJGRP 11
   Initiation of Proceedings and Prehearing Rules
17:3.0.1.1.2.4.11.27SECTION 201.200
   201.200 Initiation of proceedings.
17:3.0.1.1.2.4.11.28SECTION 201.201
   201.201 Consolidation and severance of proceedings.
17:3.0.1.1.2.4.11.29SECTION 201.202
   201.202 Specification of procedures by parties in certain proceedings.
17:3.0.1.1.2.4.11.30SECTION 201.210
   201.210 Parties, limited participants and amici curiae.
17:3.0.1.1.2.4.11.31SECTION 201.220
   201.220 Answer to allegations.
17:3.0.1.1.2.4.11.32SECTION 201.221
   201.221 Prehearing conference.
17:3.0.1.1.2.4.11.33SECTION 201.222
   201.222 Prehearing submissions and disclosures.
17:3.0.1.1.2.4.11.34SECTION 201.230
   201.230 Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.
17:3.0.1.1.2.4.11.35SECTION 201.231
   201.231 Enforcement and disciplinary proceedings: Production of witness statements.
17:3.0.1.1.2.4.11.36SECTION 201.232
   201.232 Subpoenas.
17:3.0.1.1.2.4.11.37SECTION 201.233
   201.233 Depositions upon oral examination.
17:3.0.1.1.2.4.11.38SECTION 201.234
   201.234 Depositions upon written questions.
17:3.0.1.1.2.4.11.39SECTION 201.235
   201.235 Introducing prior sworn statements or declarations.
17:3.0.1.1.2.4.11.40SECTION 201.240
   201.240 Settlement.
17:3.0.1.1.2.4.11.41SECTION 201.250
   201.250 Dispositive motions.
17:3.0.1.1.2.4.12SUBJGRP 12
   Rules Regarding Hearings
17:3.0.1.1.2.4.12.42SECTION 201.300
   201.300 Hearings.
17:3.0.1.1.2.4.12.43SECTION 201.301
   201.301 Hearings to be public.
17:3.0.1.1.2.4.12.44SECTION 201.302
   201.302 Record of hearings.
17:3.0.1.1.2.4.12.45SECTION 201.310
   201.310 Failure to appear at hearings: Default.
17:3.0.1.1.2.4.12.46SECTION 201.320
   201.320 Evidence: Admissibility.
17:3.0.1.1.2.4.12.47SECTION 201.321
   201.321 Evidence: Objections and offers of proof.
17:3.0.1.1.2.4.12.48SECTION 201.322
   201.322 Evidence: Confidential information, protective orders.
17:3.0.1.1.2.4.12.49SECTION 201.323
   201.323 Evidence: Official notice.
17:3.0.1.1.2.4.12.50SECTION 201.324
   201.324 Evidence: Stipulations.
17:3.0.1.1.2.4.12.51SECTION 201.325
   201.325 Evidence: Presentation under oath or affirmation.
17:3.0.1.1.2.4.12.52SECTION 201.326
   201.326 Evidence: Presentation, rebuttal and cross-examination.
17:3.0.1.1.2.4.12.53SECTION 201.340
   201.340 Proposed findings, conclusions and supporting briefs.
17:3.0.1.1.2.4.12.54SECTION 201.350
   201.350 Record in proceedings before hearing officer; retention of documents; copies.
17:3.0.1.1.2.4.12.55SECTION 201.351
   201.351 Transmittal of documents to Secretary; record index; electronic copy of exhibits; certification.
17:3.0.1.1.2.4.12.56SECTION 201.360
   201.360 Initial decision of hearing officer and timing of hearing.
17:3.0.1.1.2.4.13SUBJGRP 13
   Appeal to the Commission and Commission Review
17:3.0.1.1.2.4.13.57SECTION 201.400
   201.400 Interlocutory review.
17:3.0.1.1.2.4.13.58SECTION 201.401
   201.401 Consideration of stays.
17:3.0.1.1.2.4.13.59SECTION 201.410
   201.410 Appeal of initial decisions by hearing officers.
17:3.0.1.1.2.4.13.60SECTION 201.411
   201.411 Commission consideration of initial decisions by hearing officers.
17:3.0.1.1.2.4.13.61SECTION 201.420
   201.420 Appeal of determinations by self-regulatory organizations.
17:3.0.1.1.2.4.13.62SECTION 201.421
   201.421 Commission consideration of determinations by self-regulatory organizations.
17:3.0.1.1.2.4.13.63SECTION 201.430
   201.430 Appeal of actions made pursuant to delegated authority.
17:3.0.1.1.2.4.13.64SECTION 201.431
   201.431 Commission consideration of actions made pursuant to delegated authority.
17:3.0.1.1.2.4.13.65SECTION 201.440
   201.440 Appeal of determinations by the Public Company Accounting Oversight Board.
17:3.0.1.1.2.4.13.66SECTION 201.441
   201.441 Commission consideration of Board determinations.
17:3.0.1.1.2.4.13.67SECTION 201.450
   201.450 Briefs filed with the Commission.
17:3.0.1.1.2.4.13.68SECTION 201.451
   201.451 Oral argument before the Commission.
17:3.0.1.1.2.4.13.69SECTION 201.452
   201.452 Additional evidence.
17:3.0.1.1.2.4.13.70SECTION 201.460
   201.460 Record before the Commission.
17:3.0.1.1.2.4.13.71SECTION 201.470
   201.470 Reconsideration.
17:3.0.1.1.2.4.13.72SECTION 201.490
   201.490 Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).
17:3.0.1.1.2.4.14SUBJGRP 14
   Rules Relating to Temporary Orders and Suspensions
17:3.0.1.1.2.4.14.73SECTION 201.500
   201.500 Expedited consideration of proceedings.
17:3.0.1.1.2.4.14.74SECTION 201.510
   201.510 Temporary cease-and-desist orders: Application process.
17:3.0.1.1.2.4.14.75SECTION 201.511
   201.511 Temporary cease-and-desist orders: Notice; procedures for hearing.
17:3.0.1.1.2.4.14.76SECTION 201.512
   201.512 Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.
17:3.0.1.1.2.4.14.77SECTION 201.513
   201.513 Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.
17:3.0.1.1.2.4.14.78SECTION 201.514
   201.514 Temporary cease-and-desist orders: Judicial review; duration.
17:3.0.1.1.2.4.14.79SECTION 201.520
   201.520 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.
17:3.0.1.1.2.4.14.80SECTION 201.521
   201.521 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.
17:3.0.1.1.2.4.14.81SECTION 201.522
   201.522 Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.
17:3.0.1.1.2.4.14.82SECTION 201.523
   201.523 [Reserved]
17:3.0.1.1.2.4.14.83SECTION 201.524
   201.524 Suspension of registrations: Duration.
17:3.0.1.1.2.4.14.84SECTION 201.530
   201.530 Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.
17:3.0.1.1.2.4.14.85SECTION 201.531
   201.531 Initial decision on permanent order: Effect on temporary order.
17:3.0.1.1.2.4.14.86SECTION 201.540
   201.540 Appeal and Commission review of initial decision making a temporary order permanent.
17:3.0.1.1.2.4.14.87SECTION 201.550
   201.550 Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
17:3.0.1.1.2.4.15SUBJGRP 15
   Rules Regarding Disgorgement and Penalty Payments
17:3.0.1.1.2.4.15.88SECTION 201.600
   201.600 Interest on sums disgorged.
17:3.0.1.1.2.4.15.89SECTION 201.601
   201.601 Prompt payment of disgorgement, interest and penalties.
17:3.0.1.1.2.4.15.90SECTION 201.610-201.614
   201.610-201.614 [Reserved]
17:3.0.1.1.2.4.15.91SECTION 201.620
   201.620 [Reserved]
17:3.0.1.1.2.4.15.92SECTION 201.630
   201.630 Inability to pay disgorgement, interest or penalties.
17:3.0.1.1.2.4.15.93SECTION 201.700
   201.700 Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments.
17:3.0.1.1.2.4.15.94SECTION 201.701
   201.701 Issuance of order.
17:3.0.1.1.2.4.16SUBJGRP 16
   Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings
17:3.0.1.1.2.4.16.95SECTION 201.900
   201.900 Informal procedures and supplementary information concerning adjudicatory proceedings.
17:3.0.1.1.2.5SUBPART E
Subpart E - Adjustment of Civil Monetary Penalties
17:3.0.1.1.2.5.17.1SECTION 201.1001
   201.1001 Adjustment of civil monetary penalties.
17:3.0.1.1.2.6SUBPART F
Subpart F - Fair Fund and Disgorgement Plans
17:3.0.1.1.2.6.17.1SECTION 201.1100
   201.1100 Creation of Fair Fund.
17:3.0.1.1.2.6.17.2SECTION 201.1101
   201.1101 Submission of plan of distribution; contents of plan.
17:3.0.1.1.2.6.17.3SECTION 201.1102
   201.1102 Provisions for payment.
17:3.0.1.1.2.6.17.4SECTION 201.1103
   201.1103 Notice of proposed plan and opportunity for comment by non-parties.
17:3.0.1.1.2.6.17.5SECTION 201.1104
   201.1104 Order approving, modifying, or disapproving proposed plan.
17:3.0.1.1.2.6.17.6SECTION 201.1105
   201.1105 Administration of plan.
17:3.0.1.1.2.6.17.7SECTION 201.1106
   201.1106 Right to challenge.