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FEDERAL · 17 CFR

Part 201 — Rules of Practice

126 sections · Title 17: Commodity and Securities Exchanges

§ 201.31Purpose of these rules.
§ 201.32When the Act applies.
§ 201.33Proceedings covered.
§ 201.34Eligibility of applicants.
§ 201.35Standards for awards.
§ 201.36Allowable fees and expenses.
§ 201.37Delegations of authority.
§ 201.41Contents of application.
§ 201.42Net worth exhibit.
§ 201.43Documentation of fees and expenses.
§ 201.44When an application may be filed.
§ 201.51Filing and service of documents.
§ 201.52Answer to application.
§ 201.53Reply.
§ 201.54Settlement.
§ 201.55Further proceedings.
§ 201.56Decision.
§ 201.57Commission review.
§ 201.58Judicial review.
§ 201.59Payment of award.
§ 201.60§ 201.60 [Reserved]
§ 201.100Scope of the rules of practice.
§ 201.101Definitions.
§ 201.102Appearance and practice before the Commission.
§ 201.103Construction of rules.
§ 201.104Business hours.
§ 201.110Presiding officer.
§ 201.111Hearing officer: Authority.
§ 201.112Hearing officer: Disqualification and withdrawal.
§ 201.120Ex parte communications.
§ 201.121Separation of functions.
§ 201.140Commission orders and decisions: Signature and availability.
§ 201.141Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
§ 201.150Service of papers by parties.
§ 201.151Filing of papers with the Commission: Procedure.
§ 201.152Filing of papers: Form.
§ 201.153Filing of papers: Signature requirement and effect.
§ 201.154Motions.
§ 201.155Default; motion to set aside default.
§ 201.160Time computation.
§ 201.161Extensions of time, postponements and adjournments.
§ 201.180Sanctions.
§ 201.190Confidential treatment of information in certain filings.
§ 201.191Adjudications not required to be determined on the record after notice and opportunity for hearing.
§ 201.192Rulemaking: Issuance, amendment and repeal of rules of general application.
§ 201.193Applications by barred individuals for consent to associate.
§ 201.194Applications 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.
§ 201.200Initiation of proceedings.
§ 201.201Consolidation and severance of proceedings.
§ 201.202Specification of procedures by parties in certain proceedings.
§ 201.210Parties, limited participants and amici curiae.
§ 201.220Answer to allegations.
§ 201.221Prehearing conference.
§ 201.222Prehearing submissions and disclosures.
§ 201.230Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.
§ 201.231Enforcement and disciplinary proceedings: Production of witness statements.
§ 201.232Subpoenas.
§ 201.233Depositions upon oral examination.
§ 201.234Depositions upon written questions.
§ 201.235Introducing prior sworn statements or declarations.
§ 201.240Settlement.
§ 201.250Dispositive motions.
§ 201.300Hearings.
§ 201.301Hearings to be public.
§ 201.302Record of hearings.
§ 201.310Failure to appear at hearings: Default.
§ 201.320Evidence: Admissibility.
§ 201.321Evidence: Objections and offers of proof.
§ 201.322Evidence: Confidential information, protective orders.
§ 201.323Evidence: Official notice.
§ 201.324Evidence: Stipulations.
§ 201.325Evidence: Presentation under oath or affirmation.
§ 201.326Evidence: Presentation, rebuttal and cross-examination.
§ 201.340Proposed findings, conclusions and supporting briefs.
§ 201.350Record in proceedings before hearing officer; retention of documents; copies.
§ 201.351Transmittal of documents to Secretary; record index; electronic copy of exhibits; certification.
§ 201.360Initial decision of hearing officer and timing of hearing.
§ 201.400Interlocutory review.
§ 201.401Consideration of stays.
§ 201.410Appeal of initial decisions by hearing officers.
§ 201.411Commission consideration of initial decisions by hearing officers.
§ 201.420Appeal of determinations by self-regulatory organizations.
§ 201.421Commission consideration of determinations by self-regulatory organizations.
§ 201.430Appeal of actions made pursuant to delegated authority.
§ 201.431Commission consideration of actions made pursuant to delegated authority.
§ 201.440Appeal of determinations by the Public Company Accounting Oversight Board.
§ 201.441Commission consideration of Board determinations.
§ 201.442Appeal of determination by security-based swap execution facility.
§ 201.443Commission consideration of security-based swap execution facility determinations.
§ 201.450Briefs filed with the Commission.
§ 201.451Oral argument before the Commission.
§ 201.452Additional evidence.
§ 201.460Record before the Commission.
§ 201.470Reconsideration.
§ 201.490Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).
§ 201.500Expedited consideration of proceedings.
§ 201.510Temporary cease-and-desist orders: Application process.
§ 201.511Temporary cease-and-desist orders: Notice; procedures for hearing.
§ 201.512Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.
§ 201.513Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.
§ 201.514Temporary cease-and-desist orders: Judicial review; duration.
§ 201.520Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.
§ 201.521Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.
§ 201.522Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.
§ 201.523§ 201.523 [Reserved]
§ 201.524Suspension of registrations: Duration.
§ 201.530Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.
§ 201.531Initial decision on permanent order: Effect on temporary order.
§ 201.540Appeal and Commission review of initial decision making a temporary order permanent.
§ 201.550Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
§ 201.600Interest on sums disgorged.
§ 201.601Prompt payment of disgorgement, interest and penalties.
§ 201.610-201.614§§ 201.610-201.614 [Reserved]
§ 201.620§ 201.620 [Reserved]
§ 201.630Inability to pay disgorgement, interest or penalties.
§ 201.700Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments.
§ 201.701Issuance of order.
§ 201.900Informal procedures and supplementary information concerning adjudicatory proceedings.
§ 201.1001Adjustment of civil monetary penalties.
§ 201.1100Creation of Fair Fund.
§ 201.1101Submission of plan of distribution; contents of plan.
§ 201.1102Provisions for payment.
§ 201.1103Notice of proposed plan and opportunity for comment by non-parties.
§ 201.1104Order approving, modifying, or disapproving proposed plan.
§ 201.1105Administration of plan.
§ 201.1106Right to challenge.