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FEDERAL · 17 CFR

Part 200 — Organization; Conduct and Ethics; and Information and Requests

174 sections · Title 17: Commodity and Securities Exchanges

§ 200.1General statement and statutory authority.
§ 200.2Statutory functions.
§ 200.10The Commission.
§ 200.11Headquarters Office—Regional Office relationships.
§ 200.12Functional responsibilities.
§ 200.13Chief Operating Officer.
§ 200.13aThe Secretary of the Commission.
§ 200.13bDirector of the Office of Public Affairs.
§ 200.14Office of Administrative Law Judges.
§ 200.15Office of International Affairs.
§ 200.16§ 200.16 [Reserved]
§ 200.16aInspector General.
§ 200.17§ 200.17 [Reserved]
§ 200.18Director of Division of Corporation Finance.
§ 200.19aDirector of the Division of Trading and Markets.
§ 200.19bDirector of the Division of Enforcement.
§ 200.19cDirector of the Division of Examinations.
§ 200.19dDirector of the Office of Municipal Securities.
§ 200.19eDirector of the Office of Credit Ratings.
§ 200.20a§ 200.20a [Reserved]
§ 200.20bDirector of Division of Investment Management.
§ 200.21The General Counsel.
§ 200.21aThe Ethics Counsel.
§ 200.22The Chief Accountant.
§ 200.23aDirector of the Division of Economic and Risk Analysis and Chief Economist.
§ 200.23b§ 200.23b [Reserved]
§ 200.24Office of Financial Management.
§ 200.24aDirector of the Office of Investor Education and Advocacy.
§ 200.25-200.26§§ 200.25-200.26 [Reserved]
§ 200.26aOffice of Information Technology.
§ 200.27The Regional Directors.
§ 200.28Issuance of instructions.
§ 200.29Rules.
§ 200.30-1Delegation of authority to Director of Division of Corporation Finance.
§ 200.30-2Delegation of authority to the Director of the Division of Economic and Risk Analysis and Chief Economist.
§ 200.30-3Delegation of authority to Director of Division of Trading and Markets.
§ 200.30-3aDelegation of authority to Director of the Office of Municipal Securities.
§ 200.30-3bDelegation of authority to Director of the Office of Credit Ratings.
§ 200.30-4Delegation of authority to Director of Division of Enforcement.
§ 200.30-5Delegation of authority to Director of Division of Investment Management.
§ 200.30-6Delegation of authority to Regional Directors.
§ 200.30-7Delegation of authority to Secretary of the Commission.
§ 200.30-8§ 200.30-8 [Reserved]
§ 200.30-9Delegation of authority to hearing officers.
§ 200.30-10Delegation of authority to Chief Administrative Law Judge.
§ 200.30-11Delegation of authority to the Chief Accountant.
§ 200.30-12§ 200.30-12 [Reserved]
§ 200.30-13Delegation of authority to Chief Financial Officer.
§ 200.30-14Delegation of authority to the General Counsel.
§ 200.30-15Delegation of authority to Chief Operating Officer.
§ 200.30-16§ 200.30-16 [Reserved]
§ 200.30-17Delegation of authority to Director of Office of International Affairs.
§ 200.30-18Delegation of authority to Director of the Division of Examinations.
§ 200.30-19Delegation of authority to Director of the EDGAR Business Office.
§ 200.40Joint disposition of business by Commission meeting.
§ 200.41Quorum of the Commission.
§ 200.42Disposition of business by seriatim Commission consideration.
§ 200.43Disposition of business by exercise of authority delegated to individual Commissioner.
§ 200.50Authority.
§ 200.51Policy.
§ 200.52Copies of the Canons.
§ 200.53Preamble.
§ 200.54Constitutional obligations.
§ 200.55Statutory obligations.
§ 200.56Personal conduct.
§ 200.57Relationships with other members.
§ 200.58Maintenance of independence.
§ 200.59Relationship with persons subject to regulation.
§ 200.60Qualification to participate in particular matters.
§ 200.61Impressions of influence.
§ 200.62Ex parte communications.
§ 200.63Commission opinions.
§ 200.64Judicial review.
§ 200.65Legislative proposals.
§ 200.66Investigations.
§ 200.67Power to adopt rules.
§ 200.68Promptness.
§ 200.69Conduct toward parties and their counsel.
§ 200.70Business promotions.
§ 200.71Fiduciary relationships.
§ 200.72Supervision of internal organization.
§ 200.80Securities and Exchange Commission records and information.
§ 200.81Publication of interpretative, no-action and certain exemption letters and other written communications.
§ 200.82Public availability of materials filed pursuant to § 240.14a-8(d) and related materials.
§ 200.83Confidential treatment procedures under the Freedom of Information Act.
§ 200.110Purpose.
§ 200.111Prohibitions; application; definitions.
§ 200.112Duties of recipient; notice to participants.
§ 200.113Opportunity to respond; interception.
§ 200.114Sanctions.
§ 200.200Purpose.
§ 200.201General provisions.
§ 200.202Offices, and information and submittals.
§ 200.203Organization, and delegations of authority.
§ 200.204Personnel, fiscal, and service functions.
§ 200.205Effect upon existing Commission organization, delegations, and rules.
§ 200.301Purpose and scope.
§ 200.302Definitions.
§ 200.303Procedures for making inquiries and requests for access.
§ 200.304Responses to inquiries and requests for access.
§ 200.305Requests for amendment or correction of records.
§ 200.306Review of requests for amendment or correction.
§ 200.307Requests for an accounting of record disclosures.
§ 200.308Administrative appeals.
§ 200.309Fees.
§ 200.310Specific exemptions.
§ 200.311Inspector General exemptions.
§ 200.312§ 200.312 [Reserved]
§ 200.400Open meetings.
§ 200.401Definitions.
§ 200.402Closed meetings.
§ 200.403Notice of Commission meetings.
§ 200.404General procedure for determination to close meeting.
§ 200.405Special procedure for determination to close meeting.
§ 200.406Certification by the General Counsel.
§ 200.407Transcripts, minutes, and other documents concerning closed Commission meetings.
§ 200.408Public access to transcripts and minutes of closed Commission meetings; record retention.
§ 200.409Administrative appeals.
§ 200.410Miscellaneous.
§ 200.500Purpose.
§ 200.501Applicability.
§ 200.502Definition.
§ 200.503Senior agency official.
§ 200.504Oversight Committee.
§ 200.505Original classification.
§ 200.506Derivative classification.
§ 200.507Declassification dates on derivative documents.
§ 200.508Requests for mandatory review for declassification.
§ 200.509Challenge to classification by Commission employees.
§ 200.510Access by historical researchers.
§ 200.511Access by former Presidential appointees.
§ 200.550Purpose.
§ 200.551Applicability.
§ 200.552NEPA planning.
§ 200.553Draft, final and supplemental impact statements.
§ 200.554Public availability of information.
§ 200.601Purpose.
§ 200.602Application.
§ 200.603Definitions.
§ 200.604-200.609§§ 200.604-200.609 [Reserved]
§ 200.610Self-evaluation.
§ 200.611Notice.
§ 200.612-200.629§§ 200.612-200.629 [Reserved]
§ 200.630General prohibitions against discrimination.
§ 200.631-200.639§§ 200.631-200.639 [Reserved]
§ 200.640Employment.
§ 200.641-200.648§§ 200.641-200.648 [Reserved]
§ 200.649Program accessibility: Discrimination prohibited.
§ 200.650Program accessibility: Existing facilities.
§ 200.651Program accessibility: New construction and alterations.
§ 200.652-200.659§§ 200.652-200.659 [Reserved]
§ 200.660Communications.
§ 200.661-200.669§§ 200.661-200.669 [Reserved]
§ 200.670Compliance procedures.
§ 200.671-200.699§§ 200.671-200.699 [Reserved]
§ 200.735-1Purpose.
§ 200.735-2Policy.
§ 200.735-3General provisions.
§ 200.735-4Outside employment and activities.
§ 200.735-5Securities transactions.
§ 200.735-6Action in case of personal interest.
§ 200.735-7Negotiation for employment.
§ 200.735-8Practice by former members and employees of the Commission.
§ 200.735-9Indebtedness.
§ 200.735-10Miscellaneous statutory provisions.
§ 200.735-11Statement of employment and financial interests.
§ 200.735-12Special Government employees.
§ 200.735-13Disciplinary and other remedial action.
§ 200.735-14Employees on leave of absence.
§ 200.735-15Interpretive and advisory service.
§ 200.735-16Delegation.
§ 200.735-17Administration of the conduct regulation.
§ 200.735-18Requests for waivers.
§ 200.800OMB control numbers assigned pursuant to the Paperwork Reduction Act.