Title 17--COMMODITY AND SECURITIES EXCHANGES
Chapter II--SECURITIES AND EXCHANGE COMMISSION


Subpart A_Organization and Program Management Sec. 200.1 General statement and statutory authority. 200.2 Statutory functions. ...


descriptions of the Commission's functions under each of the statutes it administers: (a) Securities Act of 1933. (1) Issuers of securities making public offerings for...


of five members, not more than three of whom may be members of the same political party. The members are appointed by the President, with the advice and consent of the...


relationships. (a)(1) Division and Office Heads in the Headquarters Office (450 Fifth Street, NW., Washington, DC 20549) have Commission-wide responsibility to...


sets forth the administrative and substantive responsibilities of the Division Directors, Office Heads, Regional Directors and District Administrators, and certain...


is responsible for developing and executing the overall management policies of the Commission for all its operating divisions and staff offices. The Executive...


(a) The Secretary of the Commission is responsible for the preparation of the daily and weekly agendas of Commission business; the orderly and expeditious flow of business at...


and Research. The Director of the Office of Public Affairs, Policy Evaluation, and Research is the chief public information officer for the Commission,...


(a) Under the Administrative Procedure Act (5 U.S.C. 551-559) and the federal securities laws, the Office of Administrative Law Judges conducts hearings in proceedings instituted...


(a) The Office of International Affairs (``OIA'') is responsible for the negotiation and implementation of the Commission's bilateral and multilateral agreements and understandings...


The Executive Assistant to the Chairman assists the Chairman in consideration of legal, financial, and economic problems encountered in the administration of the...


General Act of 1978, as amended, (5 U.S.C. app.) the Inspector General performs independent and objective investigations and audits relating to the Commission's programs...


Analyst is responsible to the Executive Director for overseeing the performance of management analysis tasks which pertain, but are not limited, to: (a) Agency...


The Director of the Division of Corporation Finance is responsible to the Commission for the administration of all matters (except those pertaining to investment...


The Director of the Division of Market Regulation is responsible to the Commission for the administration and execution of the Commission's programs under the...


The Director of the Division of Enforcement is responsible to the Commission for supervising and conducting all enforcement activities under the acts administered by...


Examinations. The Director of the Office of Compliance Inspections and Examinations (``OCIE'') is responsible for the compliance inspections and...


The Director of the Division of Investment Management is responsible to the Commission for the administration of the Commission's responsibilities under the...


The Office of Filings and Information Services is responsible for the receipt and initial handling of all public documents filed at the Commission's headquarters office....


Counsel is the chief legal officer of the Commission. He or she is responsible for the representation of the Commission in judicial proceedings in which it is involved as a party...


within the Office of the General Counsel of the Commission shall oversee compliance with subpart M of this part and 5 CFR part 2635. When appropriate and subject to...


of the Commission is the principal adviser to the Commission on, and is responsible to the Commission for, all accounting and auditing matters arising in the administration...


of Economic Analysis is responsible for providing an objective economic perspective to understand and evaluate the economic dimension of the Commission's regulatory oversight....


under the direction of the Associate Executive Director of the Office of the Comptroller, is responsible to the Executive Director, Chairman and Commission for the...


The Director of the Office of Consumer Affairs is responsible to the Chairman for the Commission's investor education and consumer protection program. The program...


(a) The Office of Administrative and Personnel Management (OAPM) is responsible for providing a wide variety of programs for human resources, office services, and...


The Office of Information Technology is responsible for the analysis, design programming, operation, and maintenance of all ADP systems; developing and implementing long-range ADP...


Director is responsible for executing the Commission's programs within his geographic region as set forth below, subject to review by the Director of the Division of...


Administrator is responsible for executing the Commission's programs as set forth below, subject to review by the appropriate Regional Director and policy direction and...


spheres of responsibilities heretofore set forth, Division and Office Heads, and all Regional Administrators may issue such definitive instructions as may be necessary pursuant...


shall have the initial responsibility for proposing amendments to existing rules or new rules under the statutory provisions within the jurisdiction of the...


of Corporation Finance. Pursuant to the provisions of Pub. L., No. 87-592, 76 Stat. 394 (15 U.S.C. 78d-1, [[Page 23]] 78d-2), the Securities...


of Market Regulation. Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394, 15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission...


of Enforcement. Pursuant to the provisions of Pub. L. No. 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission...


of Investment Management. Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission...


Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394, the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise,...


Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394, 15 U.S.C. 78d-1, the Securities and Exchange Commission hereby delegates, until the...


Commission. Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394 (15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until the...


Commission. Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394 (15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until the...


Pursuant to the provisions of Section 4A of the Securities Exchange Act of 1934 (15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until...


Judge. Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394 (15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until...


Judge. Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394 (15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until...


Director of the Office of Filings and Information Services. Under Pub. L. 87-592, 76 Stat. 394 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange...


of the Office of Financial Management. Pursuant to the provisions of 15 U.S.C. 78d-1 and 78d-2, the Securities and Exchange Commission hereby delegates,...


Pursuant to the provisions of Pub. L. 101-181, 101 Stat. 1254, 101 Stat. 1255, 15 U.S.C. 78d-1, 15 U.S.C. 78d-2, and 5 U.S.C. 552a(d)(2)(B)(ii), the Securities...


Pursuant to the provisions of Pub. L. 101-181, 101 Stat. 1254, 101 Stat. 1255, 15 U.S.C. 78d-1, 15 U.S.C. 78d-2, and 5 U.S.C. 552a(d)(2)(B)(ii), the Securities...


Under Pub. L. 100-181, 101 Stat. 1254 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise,...


to the Chairman. Pursuant to the provisions of Pub. L. 101-181, 101 Stat. 1254, 101 Stat. 1255, 15 U.S.C. 78d-1, and 15 U.S.C. 78d-2, the Securities...


of International Affairs. Pursuant to the provisions of Pub. L. 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission...


the Office of Compliance Inspections and Examinations. Pursuant to the provisions of Pub. L. 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities...


Authority: 5 U.S.C. 552b; 15 U.S.C. 78d-1 and 78w. Source: 42 FR 14692, Mar. 16, 1977, unless otherwise noted. Any meeting of the Commission that...


the Commission shall consist of three members; provided, however, that if the number of Commissioners in office is less than three, a quorum shall consist of the number of members...


(a) Whenever the Commission's Chairman, or the Commission member designated as duty officer pursuant to Sec. 200.43, is of the opinion that...


to individual Commissioner. (a) Delegation to duty officer. (1) Pursuant to the provisions of Pub. L. No. 87-592, 76 Stat. 394, as amended by section 25 of...


901, as amended, sec. 20, 49 Stat. 833, sec. 319, 53 Stat. 1173, secs. 38, 211, 54 Stat. 841, 855; 15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11. Source: 25 FR...


that the Members of the Commission and their place in public opinion are affected by the advice and conduct of the staff, particularly the professional and...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR200.52] [Page 53] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 200_ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS --Table of Contents Subpart C_Canons of Ethics Sec. 200.52 Copies of the Canons. The Canons have been distributed to employees of the Commission. In addition, executive and professional employees are issued copies of the Canons upon entrance on duty. ...


Exchange Commission are entrusted by various enactments of the Congress with powers and duties of great social and economic significance to the American people. It is their...


Commission have undertaken in their oaths of office to support the Federal Constitution. Insofar as the enactments of the Congress impose executive duties upon the members, they...


members of this Commission should vigorously enforce compliance with the law by all persons affected thereby. In the exercise of the rulemaking powers delegated this...


member of this Commission is a high honor and requires that the conduct of a member, not only in the performance of the duties of his office but also in his everyday life,...


recognize that his conscience and those of other members are distinct entities and that differing shades of opinion should be anticipated. The free expression of opinion is...


been established to administer laws enacted by the Congress. Its members are appointed by the President by and with the advice and consent of the Senate to serve terms as provided...


In all matters before him, a member should administer the law without regard to any personality involved, and with regard only to the issues. Members should not become indebted...


The question in a particular matter rests with that individual member. Each member should weigh carefully the question of his qualification with respect to any matter wherein...


by his conduct, permit the impression to prevail that any person can improperly influence him, that any person unduly enjoys his favor or that he is affected in any way by the...


be determined by the Commission on the record shall be determined by the members solely upon the record and the arguments of the parties or their counsel properly made in...


state the reasons for the action taken and contain a clear showing that no serious argument of counsel has been disregarded or overlooked. In such manner, a...


review by the courts of the decisions and orders by this Commission. Members should recognize that their obligation to preserve the sanctity of the laws administered by...


the changing conditions in a volatile economy may require that they bring to the attention of the Congress proposals to amend, modify or repeal the laws administered by them....


it the power to defame and destroy. In determining to exercise their investigatory power, members should concern themselves only with the facts known to them and...


this Commission performs a legislative function. The delegation of this power by the Congress imposes the obligation upon the members to adopt rules necessary...


duties with which he is charged by the statutes. The Commission should evaluate continuously its practices and procedures to assure that it promptly disposes of all...


should be temperate, attentive, patient and impartial when hearing the arguments of parties or their counsel. Members should not condone unprofessional conduct by attorneys in...


any other business, employment or vocation while in office, nor may he ever use the power of his office or the influence of his name to promote the business interests...


as a fiduciary if it would interfere or seem to interfere with the proper performance of his duties, or if the interests of those represented require investments in...


particularly the Chairman of the Commission should scrutinize continuously its internal organization in order to assure that such organization handles all matters before...


particularly the Chairman of the Commission should scrutinize continuously its internal organization in order to assure that such organization handles all matters before...
...


public. [See footnotes at end of table] ------------------------------------------------------------------------ Description...


distribution of releases has been discontinued by the Commission because of rising costs and staff limitations. However, the texts of all releases under the various Acts,...


from the Government Printing Office. (a) The current rules of the Commission are not published by the Commission in pamphlet form. All SEC public rules...


Commission. (a) Limited amounts of the following materials among others are available free of charge upon request to the Commission's Publications Section, Public...


Search and review services: Up to one half hour total--No fee. For each one half hour or fraction thereof of chargeable service--up to GS- 11 employee performing...


Search and review services: Up to one half hour total--No fee. For each one half hour or fraction thereof of chargeable service--up to GS- 11 employee performing...
...


letters and other written communications. (a) Except as provided in paragraphs (b) and (c) of this section, every letter or other written communication...


240.14a-8(d) and related materials. Materials filed with the Commission pursuant to Rule 14a-8(d) under the Securities Exchange Act of 1934 (17 CFR 240.14a-8(d)),...


Information Act. (a) Purpose. This section provides a procedure by which persons submitting information in any form to the Commission can request that...


Sec. 200.110 Purpose. Authority: 15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11; 5 U.S.C. 557. Effective Date Note: At 69 FR 13175, Mar....


Sec. 200.111 Prohibitions; application; definitions. (a) Prohibited communications. In any agency proceeding which is subject to this subpart, except...


Sec. 200.111 Prohibitions; application; definitions. (a) Prohibited communications. In any agency proceeding which is subject to this subpart, except...


Sec. 200.112 Duties of recipient; notice to participants. (a) Duties of recipient. A member of the Commission or decisional employee who receives, or...


Sec. 200.113 Opportunity to respond; interception. (a) Opportunity to respond. All participants to a proceeding may respond to any allegations...


Sec. 200.114 Sanctions. (a) Discipline of persons practicing before the Commission. The Commission may, to the extent not prohibited by law,...


Purpose. Authority: 15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11, unless otherwise noted. Section 200.203 is also issued under 15 U.S.C....


200.201 Emergency conditions, effective date, and duration. For the purposes of this subpart, emergency conditions shall be deemed to commence at the time of an...


Offices, and information and submittals. (a) During emergency conditions, the location or headquarters of the Commission shall be as designated by the Chairman...


200.203 Organization, and delegations of authority. (a) During emergency conditions, the respective functions and responsibilities of the Commissioners, the Chairman...


Personnel, fiscal, and service functions. In the absence of unavailability of the appropriate staff officer or his successor, authority to effect...


Effect upon existing Commission organization, delegations, and rules. Except as otherwise provided herein, all outstanding Commission organizational...


200.301 Purpose and scope. Authority: 5 U.S.C. 552a(f), unless otherwise noted. Section 200.312 is also issued under Pub. L. 93-579, sec. k,...


Sec. 200.302 Definitions. The following definitions shall apply for purposes of this subpart: (a) The terms individual, maintain, record, system...


Sec. 200.303 Times, places and requirements for requests pertaining to individual records in a record system and for the identification of individuals...


Sec. 200.304 Disclosure of requested records. (a) Initial review. Requests by individuals for access to records pertaining to them will be referred to...


200.305 Special procedure: Medical records. (a) Statement of physician or mental health professional. When an individual requests access to...


Sec. 200.306 Requests for amendment or correction of records. (a) Place to make requests. A written request by an individual to amend or correct...


200.307 Review of requests for amendment or correction. (a) Initial review. As in the case of requests for access, requests by individuals for amendment...


Sec. 200.308 Appeal of initial adverse agency determination as to access or as to amendment or correction. (a) Administrative review. Any person who has...


Sec. 200.309 General provisions. (a) Extensions of time. Pursuant to Sec. Sec. 200.303(b), 200.304(d), 200.307(c) and 200.308(a)(4) of this subpart, the...


200.310 Fees. (a) A request by an individual for copies of a record pertaining to him or her that is maintained by the Commission may be sent by mail...


Sec. 200.311 Penalties. Title 18 U.S.C. 1001 makes it a criminal offense, subject to a maximum fine of $10,000, or imprisonment for not more than 5 years...


200.312 Specific exemptions. Pursuant to section (k) of the Privacy Act of 1974, the Chairman of the Securities and Exchange Commission, with...


200.313 Inspector General exemptions. (a) Pursuant to section (j) of the Privacy Act of 1974, the Chairman of the Securities and Exchange Commission,...


Open meetings. Authority: 5 U.S.C. 552b, unless otherwise noted. Section 200.410 also is issued under 29 U.S.C. 794. Source: 42 FR 14693, Mar. 16,...


Definitions. As used in this subpart: (a) Meeting means the joint deliberations of at least the number of individual members of the Securities and...


Closed meetings. (a) Nonpublic matters. Pursuant to the general or special procedures for closing Commission meetings, as set forth in Sec. 200.404 or...


Notice of Commission meetings. (a) Content of notice. (1) In the case of open meetings, or meetings closed pursuant to the procedures specified in Sec....


General procedure for determination to close meeting. (a) Action to close meeting. Action to close a meeting pursuant to Sec. 200.402(a) or (c) shall be taken...


Special procedure for determination to close meeting. (a) Finding. Based, in part, on a review of several months of its meetings, as well as the legislative...


Certification by the General Counsel. For every Commission meeting closed pursuant to Sec. 200.402(a) (1) through (10), the General Counsel of the Commission (or,...


200.407 Transcripts, minutes, and other documents concerning closed Commission meetings. (a) Record of closed meetings. Except as provided in Sec. 200.407(b),...


Public access to transcripts and minutes of closed Commission meetings; record retention. (a) Public access to record. Within twenty days (excluding...


200.409 Administrative appeals. (a) Review of determination to open meeting. Following any announcement [[Page 103]] stating that the Commission...


Miscellaneous. (a) Unauthorized activities; maintenance of decorum. Nothing in this subpart shall authorize any member of the public to be heard at, or...


200.500 Purpose. Authority: Sec. 19, Securities Act of 1933, as amended, 48 Stat. 84, 15 U.S.C. 77s. E.O. 12356, 47 FR 14874, Apr. 6, 1982. Information...


200.501 Applicability. This part applies to the handling of, and public access to, national security information and classified documents in the...


200.502 Definition. As used in this part: Foreign government information means either (a) information provided to the United States by a foreign government...


200.503 Senior agency official. The Executive Director of the Commission is designated the senior agency official responsible for conducting an oversight program...


200.504 Oversight Committee. An Oversight Committee is established, under the chairmanship of the Executive Director, with the following responsibilities: ...


200.505 Original classification. (a) No Commission Member or employee has the authority to classify any information on an original basis. (b) If a...


200.506 Derivative classification. Any document that includes paraphrases, restatements, or summaries of, or incorporates in new form, information that is...


200.507 Declassification dates on derivative documents. (a) A document that derives its classification from information classified under Executive Order 12356...


200.508 Requests for mandatory review for declassification. (a) Requests for mandatory review of a Commission document for declassification may be made by...


200.509 Challenge to classification by Commission employees. Commission employees who have reasonable cause to believe that information is classified...


200.510 Access by historical researchers. (a) Persons outside the executive branch performing historical research may have access to information over which...


200.511 Access by former Presidential appointees. (a) Former Commission Members appointed by the President may have access to classified information or documents...


U.S.C. 78w(a)(2). Source: 44 FR 41177, July 16, 1979, unless otherwise noted. This subpart sets forth the procedures the Commission will follow to...


with the procedures set forth in Sec. Sec. 200.552 through 200.554 shall be appropriate where Commission action taken with respect to security transactions subject to...


is reasonably foreseeable by the Commission that it may be required to act on a matter specified in Sec. 200.551 and that matter is likely to involve major Federal...


statements. If the Commission determines that the requirements of section 102(2)(C) of NEPA for preparation of an environmental impact statement are applicable...


(a) Any environmental assessment or impact statement, and Commission responses pertaining to formal rulemaking proceedings or adjudicatory proceedings, shall be made...


Exchange Commission Sec. 200.601 Purpose. Authority: 29 U.S.C. 794. [[Page 108]] Source: 53...


Exchange Commission Sec. 200.602 Application. This regulation (Sec. Sec. 200.601-200.670) applies to all programs...


Exchange Commission Sec. 200.603 Definitions. For purposes of this regulation, the term-- Assistant Attorney...


Exchange Commission Sec. 200.610 Self-evaluation. (a) The agency shall, by September 6, 1989, evaluate its current...


Exchange Commission Sec. 200.611 Notice. The agency shall make available to employees, applicants,...


Exchange Commission Sec. 200.630 General prohibitions against discrimination. (a) No qualified individual with handicaps...


Exchange Commission Sec. 200.640 Employment. No qualified individual with handicaps shall, on the basis of handicap,...


Exchange Commission Sec. 200.649 Program accessibility: Discrimination prohibited. Except as otherwise provided in Sec....


Exchange Commission Sec. 200.650 Program accessibility: Existing facilities. (a) General. The agency shall operate...


Exchange Commission Sec. 200.651 Program accessibility: New construction and alterations. Each building or part of a...


Exchange Commission Sec. 200.660 Communications. (a) The agency shall take appropriate steps to ensure...


Exchange Commission Sec. 200.670 Compliance procedures. (a) Except as provided in paragraph (b) of this section,...


Sec. 200.735-1 Purpose. Authority: 15 U.S.C. 77s, 78w, 79t, 77sss, 80a-37, 80b-11; E.O. 11222, 3 CFR, 1964-1965 Comp.; 5 CFR 735.104 unless...


Sec. 200.735-2 Policy. (a) The Securities and Exchange Commission has been entrusted by Congress with the protection of the public interest in a...


Commission Sec. 200.735-3 General provisions. (a)(1) In considering the prohibitions of this section, members and employees must constantly be aware that...


Commission Sec. 200.735-4 Outside employment and activities. (a) No member or employee shall permit his or her name to be associated in any way with any...


Commission Sec. 200.735-5 Securities transactions. (a)(1) This section applies to all transactions effected by or on behalf of a member or employee. This...


Sec. 200.735-6 Action in case of personal interest. Any employee assigned to work on any application, filing or matter of a company (a) in which he or she...


Commission Sec. 200.735-7 Negotiation for employment. (a) An employee may not negotiate employment with anyone outside the Commission with whom he or she...


Commission Sec. 200.735-8 Practice by former members and employees of the Commission. (a)(1) No person shall appear in a representative capacity before...


Sec. 200.735-9 Indebtedness. (a) The Securities and Exchange Commission considers the indebtedness of its members and employees to be essentially a matter...


Commission Sec. 200.735-10 Miscellaneous statutory provisions. Each member and employee is responsible for acquainting himself or herself with each statute...


Commission Sec. 200.735-11 Statement of employment and financial interests. (a) Members and employees in the Senior Executive Service or Grades GS-16 through...


Sec. 200.735-12 Special Government employees. (a) Special Government employee means a person defined in section 18 U.S.C. 202 as a special...


Commission Sec. 200.735-13 Disciplinary and other remedial action. (a) Knowing participation in a violation of this subpart by persons not within the scope of...


Sec. 200.735-14 Employees on leave of absence. The provisions of the rules in this subpart relative to employees of the Commission are applicable...


Commission Sec. 200.735-15 Interpretive and advisory service. (a) The General Counsel shall be designated Counselor for the Commission and shall serve as...


Sec. 200.735-16 Delegation. Any official responsibility assigned to a person in a particular position pursuant to this subpart may be delegated by...


Sec. 200.735-17 Administration of the conduct regulation. Under the general direction of the Executive Director, the Director of Personnel is responsible...


Sec. 200.735-18 Requests for waivers. Unless a different procedure is specifically prescribed in a rule of this part, an employee may submit a request for...


Sec. 200.735-18 Requests for waivers. Unless a different procedure is specifically prescribed in a rule of this part, an employee may submit a request for...
...


Subpart B_Regulations Pertaining to the Equal Access to Justice Act Sec. 201.31 Purpose of these rules. 201.32 When the Act applies. 201.33 Proceedings...


Sec. 201.33 pending or commenced before the Commission on or after August 5, 1985. It also applies to any adversary adjudication commenced on or after October 1, 1984,...


by the Commission. These are on the record adjudications under 5 U.S.C. 554 in which the position of an Office or Division of the Commission as a party, not...


and other expenses under the Act, the applicant must be a party to the adversary adjudication for which it seeks it seeks an award. The term party is defined in 5 U.S.C....


fees and expenses incurred in connection with a proceeding or in a significant and discrete substantive portion of the proceeding, unless the position of the Office or...


awards will be based on rates customarily charged, in the locale of the hearing, by persons engaged in the business of acting as attorneys, agents and expert witnesses, even...


take final action on matters pertaining to the Equal Access to Justice Act in particular cases. (b) Unless the Commission shall order otherwise, applications...


under the Act shall identify the applicant, the proceeding for which an award is sought and contain the information required in this subpart. The application shall...


cooperative association, must provide with its application a detailed exhibit showing the net worth of the applicant and any affiliates (as defined in Sec. 201.34(f)...


full documentation of the fees and expenses, including the cost of any study, analysis, engineering report, test, project or similar matter, for which an award is sought....


applicant has prevailed in the proceeding or in a significant and discrete substantive portion of the proceeding, but in no case later than 30 days after the...


related to an application shall be filed and served in the same manner as other papers in proceedings under the Commission's Rules of Practice. In addition, a copy...


representing the Office or Division of the Commission may file an answer to the application. Unless the Office or Division of the Commission counsel requests an...


reply. If the reply is based on any alleged facts not already in the record of the proceeding, the applicant shall include with the reply either supporting affidavits or a...


may agree on a proposed settlement of the award before final action on the application, either in connection with a settlement of the underlying proceeding or after...


made on the basis of the written record. However, on request of either the applicant or counsel for the Office or Division of the Commission, or on his or her own initiative,...


the application promptly after completion of proceedings on the application. The decision shall include written findings and conclusions on the applicant's eligibility...


and 201.411, either the applicant or counsel for the Office or Division of the Commission may seek review of the initial decision on the fee application, or the...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR201.58] [Page 147] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 201_RULES OF PRACTICE--Table of Contents Subpart B_Regulations Pertaining to the Equal Access to Justice Act Sec. 201.58 Judicial review. Judicial review of final Commission decisions on awards may be sought as provided in 5 U.S.C. 504(c)(2). ...


the Comptroller of the Commission a copy of the Commission's final decision granting the award, accompanied by a sworn statement that the applicant will not seek review of...


Authority: 15 U.S.C. 78u-1 and 78w. Source: 54 FR 28799, July 10, 1989, unless otherwise noted. Section 21A of the Securities Exchange Act of...


No person shall be eligible for the payment of a bounty under subsection 21A(e) of the Securities Exchange Act of 1934 unless such person has filed a...


filing. Each application pursuant to this subpart and each amendment thereto must be filed within one hundred and eighty days after the entry of the court order...


information required. Each application pursuant to this subpart shall be identified as an Application for Award of a Bounty and shall contain a detailed...


Applications pursuant to this subpart may omit the identity, mailing address, and signature of the applicant; provided, that such identity, mailing address...


The Commission will notify each person who files an application that meets the requirements of this subpart, at the address specified in such application, of...


legal guardians. An application pursuant to this subpart may be filed by an executor, administrator, or other legal representative of a person who provides information...


payment. No person is authorized under this subpart to make any offer or promise, or otherwise to bind the Commission with respect to the payment of any bounty or the...


78c(b), 78d-1, 78d-2, 78l, 78m, 78n, 78o(d), 78o-3, 78s, 78u-2, 78u-3, 78v, 78w, 79c, 79s, 79t, 79z-5a, 77sss, 77ttt, 80a-8, 80a-9, 80a-37, 80a-38, 80a- 39, 80a-40,...


78c(b), 78d-1, 78d-2, 78l, 78m, 78n, 78o(d), 78o-3, 78s, 78u-2, 78u-3, 78v, 78w, 79c, 79s, 79t, 79z-5a, 77sss, 77ttt, 80a-8, 80a-9, 80a-37, 80a-38, 80a- 39, 80a-40,...


the contrary: (1) Commission means the United States Securities and Exchange Commission, or a panel of Commissioners constituting a quorum of the Commission, or a...


the contrary: (1) Commission means the United States Securities and Exchange Commission, or a panel of Commissioners constituting a quorum of the Commission, or a...


Commission or a hearing officer except as stated in paragraphs (a) and (b) of this section or as otherwise permitted by the Commission or a hearing officer. (a)...


Commission or a hearing officer except as stated in paragraphs (a) and (b) of this section or as otherwise permitted by the Commission or a hearing officer. (a)...


the just, speedy, and inexpensive determination of every proceeding. (b) In any particular proceeding, to the extent that there is a conflict between these rules and...


D.C. 20549, is open each day, except Saturdays, Sundays, and Federal legal holidays, from 9 a.m. to 5:30 p.m., Eastern Standard Time or Eastern Daylight Saving...


orders, by a hearing officer. When the Commission designates that the hearing officer shall be an administrative law judge, the Chief Administrative Law Judge...


and appropriate to discharge his or her duties. No provision of these Rules of Practice shall be construed to limit the powers of the hearing officer provided by...


and appropriate to discharge his or her duties. No provision of these Rules of Practice shall be construed to limit the powers of the hearing officer provided by...


a hearing officer believes himself or herself to be disqualified from considering a matter, the hearing officer shall issue a notice stating that he or she is withdrawing...


as authorized by law, the person presiding over an evidentiary hearing may not: (1) Consult a person or party on a fact in issue, unless on notice and...


investigative or prosecutorial functions for the Commission in a proceeding as defined in Sec. 201.101(a) may not, in that proceeding or one that is factually...


and decisions of the Commission shall be signed by the Secretary or any other person duly authorized by the Commission. (b) Availability for inspection. Each order...


(a) Service of an order instituting proceedings. (1) By whom made. The Secretary, or another duly authorized officer of the Commission, shall serve a copy of an...


(a) Service of an order instituting proceedings. (1) By whom made. The Secretary, or another duly authorized officer of the Commission, shall serve a copy of an...


each paper, including each notice of appearance, written motion, brief, or other written communication, shall be served upon each party in the proceeding in...


each paper, including each notice of appearance, written motion, brief, or other written communication, shall be served upon each party in the proceeding in...


served by a party upon any person shall be filed with the Commission at the time of service or promptly thereafter. Papers required to be filed with the Commission must...


served by a party upon any person shall be filed with the Commission at the time of service or promptly thereafter. Papers required to be filed with the Commission must...


defined in Sec. 201.101(a) shall: (1) Be on one grade of unglazed white paper measuring 8\1/2\x11 inches, except that, to the extent that the reduction of...


defined in Sec. 201.101(a) shall: (1) Be on one grade of unglazed white paper measuring 8\1/2\x11 inches, except that, to the extent that the reduction of...


issuance of an order instituting proceedings, every filing of a party represented by counsel shall be signed by at least one counsel of record in his or her name and shall...


in writing, shall state with particularity the grounds therefor, shall set forth the relief or order sought, and shall be accompanied by a written brief of the points and...


in writing, shall state with particularity the grounds therefor, shall set forth the relief or order sought, and shall be accompanied by a written brief of the points and...


and the Commission or the hearing officer may determine the proceeding against that party upon consideration of the record, including the order instituting proceedings,...


by these Rules of Practice or by order of the Commission, the day of the act, event, or default from which the designated period of time begins to run shall not be...


by these Rules of Practice or by order of the Commission, the day of the act, event, or default from which the designated period of time begins to run shall not be...


by law, the Commission, at any time, or the hearing officer, at any time prior to the filing of his or her initial decision or, if no initial decision is to be filed,...


by any person before the Commission or a hearing officer during any proceeding, including any conference, shall be grounds for the Commission or the hearing officer to: ...


confidential treatment pursuant to the provisions of Clause 30 of Schedule A of the Securities Act of 1933, 15 U.S.C. 77aa(30), and Rule 406 thereunder, 17 CFR...


(a) Scope of the rule. This rule applies to every case of adjudication, as defined in 5 U.S.C. 551, pursuant to any statute which the Commission administers,...


petition. Any person desiring the issuance, amendment or repeal of a rule of general application may file a petition therefor with the Secretary. Such petition shall include a...


Preliminary note This rule governs applications to the Commission by certain persons, barred by Commission order from association with brokers, dealers, municipal...


hearing. (1) Generally. Whenever an order instituting proceedings is issued by the Commission, appropriate notice thereof shall be given to each party to the proceeding by...


a common question of law or fact may be consolidated for hearing of any or all the matters at issue in such proceedings. The Commission or the hearing officer may...


a common question of law or fact may be consolidated for hearing of any or all the matters at issue in such proceedings. The Commission or the hearing officer may...


In any proceeding other than an enforcement or disciplinary proceeding or a proceeding to review a determination by a self-regulatory organization pursuant to Sec....


In any proceeding other than an enforcement or disciplinary proceeding or a proceeding to review a determination by a self-regulatory organization pursuant to Sec....


or a proceeding to review a self-regulatory organization determination--(1) Generally. No person shall be granted leave to become a party or non- party...


or a proceeding to review a self-regulatory organization determination--(1) Generally. No person shall be granted leave to become a party or non- party...


may require any party to file an answer to each of the allegations contained therein. Even if not so ordered, any party in any proceeding may elect to file an answer....


or at the request of a party or other participant, may order any party, including the interested division, to furnish such information as deemed appropriate, including any...


For purposes of this section, the term documents shall include writings, drawings, graphs, charts, photographs, recordings and other data compilations, including...


For purposes of this section, the term documents shall include writings, drawings, graphs, charts, photographs, recordings and other data compilations, including...


respondent in an enforcement or disciplinary proceeding may move that the Division of Enforcement produce for inspection and copying any statement of any person called or...


respondent in an enforcement or disciplinary proceeding may move that the Division of Enforcement produce for inspection and copying any statement of any person called or...


Commission, a party may request the issuance of subpoenas requiring the attendance and testimony of witnesses at the designated time and place of hearing, and subpoenas requiring...


Commission, a party may request the issuance of subpoenas requiring the attendance and testimony of witnesses at the designated time and place of hearing, and subpoenas requiring...


a witness by deposition shall make a written motion setting forth the reasons why such deposition should be taken including the specific reasons why the party believes...


a witness by deposition shall make a written motion setting forth the reasons why such deposition should be taken including the specific reasons why the party believes...


written questions upon motion of any party. The motion shall include the information specified in Sec. 201.233(a). A decision on the motion shall be governed by the...


person wishing to introduce a prior, sworn statement of a witness, not a party, otherwise admissible in the proceeding, may make a motion setting forth the reasons therefor....


be [[Page 176]] instituted against him or her, or any party to a proceeding already instituted, may, at any time, propose in writing an offer of settlement. ...


an enforcement or a disciplinary proceeding, documents have been made available to that respondent for inspection and copying pursuant to Sec. 201.230, the respondent, or...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR201.300] [Page 177] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 201_RULES OF PRACTICE--Table of Contents Subpart D_Rules of Practice Sec. 201.300 Hearings. Hearings for the purpose of taking evidence shall be held only upon order of the Commission. All hearings shall be conducted in a fair, impartial, expeditious and orderly manner. ...


pursuant to Sec. 201.190, hearings held to consider a motion for a protective order pursuant to Sec. 201.322, and hearings on ex parte application for a...


Commission, all hearings shall be recorded and a written transcript thereof shall be prepared. (b) Availability of a transcript. Transcripts of public hearings shall...


a person against whom findings may be made or sanctions imposed who fails to appear at a hearing of which he or she has been duly notified may be deemed to be in...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR201.320] [Page 177] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 201_RULES OF PRACTICE--Table of Contents Subpart D_Rules of Practice Sec. 201.320 Evidence: Admissibility. The Commission or the hearing officer may receive relevant evidence and shall exclude all evidence that is irrelevant, immaterial or unduly repetitious. ...


exclusion of evidence must be made on the record and shall be in short form, stating the grounds relied upon. Exceptions to any ruling thereon by the hearing officer need not...


defined in Sec. 201.101(a), a party, any person who is the owner, subject or creator of a document subject to subpoena or which may be introduced as evidence, or any witness...


judicially noticed by a district court of the United States, any matter in the public official records of the Commission, or any matter which is peculiarly within the knowledge...


upon any pertinent facts in the proceeding. A stipulation may be received in evidence and, when received, shall be binding on the parties to...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR201.325] [Page 178] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 201_RULES OF PRACTICE--Table of Contents Subpart D_Rules of Practice Sec. 201.325 Evidence: Presentation under oath or affirmation. A witness at a hearing for the purpose of taking evidence shall testify under oath or affirmation. ...


is required to be conducted on the record after opportunity for hearing in accord with 5 U.S.C. 556(a), a party is entitled to present its case or defense by oral...


decision is issued, each party shall have an opportunity, reasonable in light of all the circumstances, to file in writing proposed findings and conclusions together with,...


of the record. The record shall consist of: (1) The order instituting proceedings, each notice of hearing and any amendments; (2) Each application, motion,...


of the record. The record shall consist of: (1) The order instituting proceedings, each notice of hearing and any amendments; (2) Each application, motion,...


hearing officer to Secretary of partial record index. The hearing officer may, at any time, transmit to the Secretary motions, exhibits or any other original documents filed with...


hearing officer to Secretary of partial record index. The hearing officer may, at any time, transmit to the Secretary motions, exhibits or any other original documents filed with...


the hearing officer shall prepare an initial decision in any proceeding in which the Commission directs a hearing officer to preside at a hearing, provided,...


the hearing officer shall prepare an initial decision in any proceeding in which the Commission directs a hearing officer to preside at a hearing, provided,...


prior to its consideration of the entire proceeding in the absence of extraordinary circumstances. The Commission may decline to consider a ruling certified by a...


prior to its consideration of the entire proceeding in the absence of extraordinary circumstances. The Commission may decline to consider a ruling certified by a...


pursuant to Sec. 201.154, and served on all parties pursuant to Sec. 201.150. The motion shall state the reasons for the relief requested and the facts relied upon, and,...


pursuant to Sec. 201.154, and served on all parties pursuant to Sec. 201.150. The motion shall state the reasons for the relief requested and the facts relied upon, and,...


any proceeding in which an initial decision is made by a hearing officer, any party, and any other person who would have been entitled to judicial review of the...


any proceeding in which an initial decision is made by a hearing officer, any party, and any other person who would have been entitled to judicial review of the...


The Commission may affirm, reverse, modify, set aside or remand for further proceedings, in whole or in part, an initial decision by a hearing officer and may make any findings...


The Commission may affirm, reverse, modify, set aside or remand for further proceedings, in whole or in part, an initial decision by a hearing officer and may make any findings...


available. An application for review by the Commission may be filed by any person who is aggrieved by a self-regulatory organization determination as to which a notice...


available. An application for review by the Commission may be filed by any person who is aggrieved by a self-regulatory organization determination as to which a notice...


other than pursuant to a petition for review. The Commission may, on its own initiative, order review of any determination by a self-regulatory organization that could...


an action made by authority delegated in Sec. Sec. 200.30-1 through 200.30-18 of this chapter may seek review of the action pursuant to paragraph (b) of this section. ...


an action made by authority delegated in Sec. Sec. 200.30-1 through 200.30-18 of this chapter may seek review of the action pursuant to paragraph (b) of this section. ...


review. The Commission may affirm, reverse, modify, set aside or remand for further proceedings, in whole or in part, any action made pursuant to authority delegated in Sec....


review; when available. Any person who is aggrieved by a determination of the Board with respect to any final disciplinary sanction, including disapproval of a...


an application for review. The Commission may, on its own initiative, order review of any final disciplinary sanction, including disapproval of a completed application...


to Sec. 201.431, if review of a determination is mandated by statute, rule, or judicial order or the Commission determines to grant review as a matter of discretion,...


to Sec. 201.431, if review of a determination is mandated by statute, rule, or judicial order or the Commission determines to grant review as a matter of discretion,...


the motion of a party or any other aggrieved person entitled to Commission review, may order oral argument with respect to any matter. Motions for oral argument with respect...


the motion of a party or any other aggrieved person entitled to Commission review, may order oral argument with respect to any matter. Motions for oral argument with respect...


submission of additional evidence. A party may file a motion for leave to adduce additional evidence at any time prior to issuance of a decision by the Commission. Such...


record. (a) Contents of the record. (1) In proceedings for final decision before the Commission other than those reviewing a determination by a...


record. (a) Contents of the record. (1) In proceedings for final decision before the Commission other than those reviewing a determination by a...


a proceeding may file a motion for reconsideration of a final order issued by the Commission. (b) Procedure. A motion for reconsideration shall be filed within 10...


a proceeding may file a motion for reconsideration of a final order issued by the Commission. (b) Procedure. A motion for reconsideration shall be filed within 10...


and office designated pursuant to 28 U.S.C. 2112(a)(1) to receive copies of petitions for review of Commission orders from the persons instituting review in a court...


other responsibilities, every hearing shall be held and every decision shall be rendered at the earliest possible time in connection with: (a) An application for...


of a temporary cease-and-desist order shall be made by application filed by the Division of Enforcement. The application shall set forth the statutory provision or rule...


Notice of an application for a temporary cease-and-desist order shall be made by serving a notice of hearing and order to show cause pursuant to Sec. 201.141(b) or, where...


(a) Basis for issuance. A temporary cease-and-desist order shall be issued only if the Commission determines that the alleged violation or threatened violation specified in an...


In addition to the requirements for issuance of a temporary cease- and-desist order set forth in Sec. 201.512, the following requirements shall apply if a...


Judicial review of a temporary cease-and-desist order shall be available as provided in Section 8A(d)(2) of the Securities Act, 15 U.S.C. 77h-1(d)(2), Section...


(a) Procedure. A request for suspension of a registered broker, dealer, municipal securities dealer, government securities broker, government securities dealer,...


and opportunity for hearing on application. (a) How given. Notice of an application to suspend a registration pursuant to Sec. 201.520 shall be made by...


review of order. (a) Basis for issuance. An order suspending a registration, pending final determination as to whether the registration shall be revoked shall be...


Commission, a court of competent jurisdiction, or a hearing officer acting pursuant to Sec. 201.531, an order suspending a registration shall remain effective and...


decision. Unless otherwise ordered by the Commission or hearing officer, if a temporary cease-and-desist order or suspension of registration order is in effect,...


If, at the time an initial decision is issued, a temporary sanction is in effect as to any respondent, the initial decision shall specify: (1) Which terms...


(a) Petition for review. Any person who seeks Commission review of an initial decision as to whether a temporary sanction shall be made permanent shall file a petition for review...


suspension. Any person adversely affected by a suspension pursuant to Section 12(k)(1)(A) of the Exchange Act, 15 U.S.C. 78l(k)(1)(A), who desires to show that such suspension...


any sum required to be paid pursuant to an order of disgorgement. The disgorgement order shall specify each violation that forms the basis for the...


provided, funds due pursuant to an order by the Commission requiring the payment of disgorgement, interest or penalties shall be paid no later than 21 days after service...


provided, funds due pursuant to an order by the Commission requiring the payment of disgorgement, interest or penalties shall be paid no later than 21 days after service...


any time, order any party to submit a plan for the administration and distribution of disgorgement funds. Unless ordered otherwise, the Division of Enforcement shall submit...


otherwise ordered, a plan for the administration of a disgorgement fund shall include the following elements: (1) Procedures for the receipt of additional...


Notice of a proposed plan of disgorgement shall be published in the SEC News Digest, in the SEC Docket, and in such other publications as the Commission or the hearing officer may...


than 30 days after publication of notice of a proposed plan of disgorgement, the hearing officer or the Commission shall, by order, approve, approve with modifications,...


Commission or the hearing officer shall have discretion to appoint any person, including a Commission employee, as administrator of a plan of disgorgement and to delegate to...


submit comments as provided in Sec. 201.612, no person shall be granted leave to intervene or to participate in a proceeding or otherwise to appear to challenge an order...


which an order requiring payment of disgorgement, interest or penalties may be entered, a respondent may present evidence of an inability to pay disgorgement, interest or...


(a) Guidelines for the timely completion of proceedings.(1) Timely resolution of adjudicatory proceedings is one factor in assessing the effectiveness of the adjudicatory program...


Stat. 1321. Source: 61 FR 57774, Nov. 8, 1996, unless otherwise noted. As required by the Debt Collection Improvement Act of 1996, the maximum amounts of...


Act of 1996, the maximum amounts of all civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company...


78u-3, 78v, 78w, 80a-9, 80a-37, 80a-39, 80a-40, 80b-3, 80b-11, 80b-12, and 7246. Source: 69 FR 13180, Mar. 19, 2004, unless otherwise noted. ...


the hearing officer may, at any time, order any party to submit a plan for the administration and distribution of funds in a Fair Fund or disgorgement fund. Unless...


Subject to such conditions as the Commission or the hearing officer shall deem appropriate, a plan for the administration of a Fair Fund or a disgorgement fund may...


a proposed plan of disgorgement or a proposed Fair Fund plan shall be published in the SEC Docket, on the SEC website, and in such other publications as the Commission or the...


days following publication of notice of a proposed plan of disgorgement or of a proposed Fair Fund plan, the Commission shall, by order, approve, approve with modifications,...


the hearing officer shall have discretion to appoint any person, including a Commission employee, as administrator of a plan of disgorgement or a Fair Fund plan and...


provided in Sec. 201.1103, no person shall be granted leave to intervene or to participate or otherwise to appear in any agency proceeding or otherwise to challenge an...


for filing fees. 202.4 Facilitating administrative hearings. 202.5 Enforcement activities. 202.6 Adoption, revision and rescission of rules and regulations of...


the general public, prospective registrants, applicants and declarants. For example, persons having a question regarding the availability of an exemption may secure...


indentures, and similar documents filed with the Commission under the Securities Act of 1933 and the Trust Indenture Act of 1939, and certain filings under...


this part: Sec. 230.111 (17 CFR 230.111), Sec. 240.0-9 (17 CFR 240-0.9), Sec. 260.7a-10 (17 CFR 260.7a-10), and Sec. 270.0-8 (17 CFR 270.0-8). All such fees payable...


hearing are scrutinized by the appropriate division for conformance with applicable statutory standards and Commission rules and generally the filing party is advised...


of filings made with the Commission, or otherwise, it appears that there may be violation of the acts administered by the Commission or the rules or...


with the adoption, revision, and rescission of rules of general application necessarily varies in accordance with the nature of the rule, the extent of public...


in the Commission's rules, schedules and forms. Reports by exchange members, brokers and dealers required by Sec. 240.17a-5 of this chapter under the...


and regional offices: (a) Q & A: Small Business and the SEC.\1 --------------------------------------------------------------------------- \1\ These items are...


a small entity is: (a) The Commission will consider on a case-by-case basis whether to reduce or not assess civil money penalties against a small entity....


General Sec. 203.1 Application of the rules of this part. 203.2 Information obtained in investigations and examinations. 203.3 Suspension and disbarment. ...


by the Commission in the course of any investigation or examination, unless made a matter of public record, shall be deemed non-public, but the Commission approves the...


of the Commission's rules of practice) are hereby made specifically applicable to all investigations. [29 FR 3620, Mar. 21, 1964, as amended at 60 FR 32823, June...


203.8 shall be applicable to a witness who is sworn in a proceeding pursuant to a Commission order for investigation or examination, such proceeding being hereinafter...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR203.5] [Page 218] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 203_RULES RELATING TO INVESTIGATIONS--Table of Contents Subpart B_Formal Investigative Proceedings Sec. 203.5 Non-public formal investigative proceedings. Unless otherwise ordered by the Commission, all formal investigative proceedings shall be non-public. ...


be recorded solely by the official reporter, or by any other person or means designated by the officer conducting the investigation. A person who has submitted...


furnish documentary evidence or testimony at a formal investigative proceeding shall, upon request, be shown the Commission's order of investigation. Copies of formal orders...


shall be effected in the manner prescribed by Rule 232(c) of the Commission's Rules of Practice, Sec. 201.232(c) of this chapter. [29 FR 3620, Mar. 21, 1964,...


Applicability and scope. 204.2 Definitions. 204.3 General. 204.4 Demand for payment--notice. 204.5 Debtor's failure to...


withholding funds payable by the United States (including funds payable by the United States on behalf of a State government) to, or held by the United States for, a person...


with regard to debts owed by a person to another agency of the United States Government, upon receipt of a request from the head of another agency or his or her designee, and...


sent to the debtor. This notice will include: (1) The type and amount of the debt; (2) The date when payment is due (not less than thirty days from the date of...


in Sec. 204.4(a) by the proposed effective date specified in the notice, the Commission may take further action under this section or under the Federal Claims...


judicial or administrative order, a debtor may request a hearing concerning the existence or amount of the debt or the terms of repayment. With respect to debts established...


by the Commission's designee when: (1) (i) By statute, consideration must be given to a request to waive the indebtedness; (ii) The debtor requests waiver of...


place of offset, the Commission has discretion to determine whether to accept a repayment agreement in place of offset. If the debt is delinquent and the debtor has not...


right to request a review within the time specified in Sec. 204.4, or if as a result of the review, it is determined that the debt is due and no written agreement is executed,...


payment to be made to the debtor prior to the completion of the procedures required by Sec. 204.4(a) if failure to take the offset would substantially jeopardize...


FR 38520, July 19, 1993, unless otherwise noted. (a) This regulation provides procedures for the collection by administrative offset against a federal...


claims arising under the Internal Revenue Code of 1954 as amended (26 U.S.C. 1), or the tariff laws of the United States. (b) Any case where collection of a debt by salary...


Chairman means the Chairman of the Securities and Exchange Commission. Commission means the Securities and Exchange Commission. Creditor agency means the agency to which...


at least 30 calendar days prior to offseting his/her salary. A program official need not notify an employee of: any adjustment to pay arising out of an employee's...


if at all, within 15 calendar days following receipt, in one or more of the ways discussed in Sec. 204.34, Employee response, and Sec. 204.35, Petition for...


The petition must state with specificity why the employee believes the agency's determination is in error. To the extent that a debt has not been established by...


or the timeliness is waived, the program official must: (1) arrange for a hearing official. If the hearing official is an administrative law judge, he or she shall...


justice postpone the commencement of the hearing, adjourn a convened hearing [[Page 227]] for a reasonable period of time or extend or shorten any other...


hearings granted under this section, pursuant to 31 CFR 901.3(e). All oral hearings shall be on the record. Except as otherwise ordered by the hearing official, hearings...


the employee's petition for a pre-offset hearing, the hearing official will issue a written decision setting forth the basis of his/her findings in accordance with 5...


held, deductions shall be made in accordance with the hearing official's decision. (2) If parties execute a voluntary repayment agreement, deductions shall be made...


a debt being collected under 5 U.S.C. 5514 shall not be construed as a waiver of any rights that the employee may have under 5 U.S.C. 5514 or any other provision of contract...


offset under this regulation when: (1) A debt is waived or otherwise found not owing the United States (unless expressly prohibited by statute or regulation); or ...


as the Creditor Agency. When possible, salary offset through the centralized administrative offset procedures in 5 CFR 550.1108 shall be attempted before applying...


and administrative costs in accordance with the Federal Claims Collection Standards, 31 CFR 901.9. [58 FR 38520, July 19, 1993, as amended at 66 FR 54132,...


FR 64372, Dec. 7, 1993, unless otherwise noted. This subpart establishes procedures for the Commission's referral of past-due legally enforceable debts to the Department...


of an income tax refund will be made only after the Commission makes a determination that an amount is owed and past-due and gives or makes a reasonable attempt to...


notice of intent. (a) Consideration of evidence. If, as a result of the Notice of Intent, the Commission receives notice that the debtor will submit additional...


FMS notification of an individual's liability for a debt, the Commission will promptly notify FMS of any change in the notification, if the Commission: (a) Determines...


incurred in connection with the referral of the debts for tax refund offset will be assessed on the debt and thus increase the amount of the offset. [66 FR 54132, Oct....


Source: 66 FR 54132, Oct. 26, 2001, unless otherwise noted. This subpart provides procedures for the Commission to collect money from a debtor's disposable pay by means...


the Commission from pursuing other debt collection remedies, including the offset of Federal payments to satisfy a delinquent nontax debt owed to the United States....


Debt or delinquent nontax debt means any money, funds or property that has [[Page 232]] been determined to be owed to the Commission by an individual that has...


Commission will mail, by first class mail to the debtor's last known address, a written notice informing the debtor of: (1) The nature and amount of the debt; ...


at the Commission's option may be oral or written, if the debtor submits a written request for a hearing concerning, for debts not previously established by judicial...


the Commission believes justifies a delay or cancellation of the withholding order, the Commission will send, by first class mail, a withholding order to the...


Source: 58 FR 64373, Dec. 7, 1993, unless otherwise noted. Section 13 of the Debt Collection Act (31 U.S.C. 3718) authorizes agencies to enter...


The Commission may report delinquent debts to consumer reporting agencies (See 31 U.S.C. 3701(a)(3), 3711). Sixty days prior to release of information to a consumer reporting...


authority to contract for collection services to recover delinquent debts in accordance with 31 U.S.C. 3718(a) and the Federal Claims Collection Standards (31 CFR 901.5). ...


and scope. 205.2 Definitions. 205.3 Issuer as client. 205.4 Responsibilities of supervisory attorneys. 205.5 Responsibilities of a...


(1) Means: (i) Transacting any business with the Commission, including communications in any form; (ii) Representing an issuer in a Commission...


an issuer owes his or her professional and ethical duties to the issuer as an organization. That the attorney may work with and advise the issuer's officers, directors,...


before the Commission in the representation of an issuer is a supervisory attorney. An issuer's chief legal officer (or the equivalent thereof) is a supervisory attorney...


an issuer on a matter under the supervision or direction of another attorney (other than under the direct supervision or direction of the issuer's chief legal officer (or...


the representation of an issuer shall subject such attorney to the civil penalties and remedies for a violation of the federal securities laws available to the Commission in...


law firm, or issuer based upon compliance or noncompliance with its provisions. (b) Authority to enforce compliance with this part is vested exclusively in...


assets and financial information. Authority: 15 U.S.C. 77h-1, 77u, 78u-2, 78u-3, 78v, 78w, 80a-9, 80a- 37, 80a-38, 80a39, 80a-40, 80a-41, 80a-44, 80b-3, 80b-9, 80b-11,...


CFR 201.410 and 201.630) provide that under certain circumstances a respondent who asserts or intends to assert an inability to pay disgorgement, interest or penalties may...


COMPANY ACT OF 1935, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975-- Table...


the general rules and regulations or in the instructions to the applicable form, when used in Regulation S-X (this part 210), shall have the respective meanings given in...


the general rules and regulations or in the instructions to the applicable form, when used in Regulation S-X (this part 210), shall have the respective meanings given in...
...


(a) Technical requirements for accountants' reports. The accountant's report: (1) Shall be dated; (2) Shall be signed manually; [[Page 261]] ...


independent accountants, the financial statements of any foreign governmental agency may be examined by the regular and customary auditing staff of...


of any other person, such statements need not be examined if examination of such statements would not be required if such person were itself...


part of the examination is made by an independent accountant other than the principal accountant and the principal accountant elects to place reliance on the work of...


an issuer's financial statements to which section 10A(a) of the Securities Exchange Act of 1934 (15 U.S.C. 78j-1(a)) applies, or of the financial statements of any...


is an issuer (as defined in section 10A(f) of the Securities Exchange Act of 1934 (15 U.S.C. 78j-1(f))), other than an issuer that is an Asset-Backed Issuer as defined in...


sheets as of the end of each of the two most recent fiscal years. If the registrant has been in existence for less than one fiscal year, there shall be filed an...


its subsidiaries consolidated and for its predecessors, audited statements of income and cash flows for each of the three fiscal years preceding the date of the most...


of this regulation. (b) If the registrant is engaged primarily (1) in the generation, transmission or distribution of electricity, the manufacture,...


in the balance sheets shall be given in a note or separate statement. This analysis shall be presented in the form of a reconciliation of the beginning balance to the...


and audited in accordance with this regulation should be furnished for the periods specified in paragraph (b) below if any of the following conditions exist: ...


filing of financial statements covering a period of 9 to 12 months shall be deemed to satisfy a requirement for filing financial statements for a period of 1 year...


the conditions set forth in Sec. 210.1-02(w), substituting 20 percent for 10 percent in the tests used therein to determine a significant subsidiary, are met for a...


rule. Every issuer of a registered security that is guaranteed and every guarantor of a registered security must file the financial statements required for a registrant...


required by this regulation for purposes of reports pursuant to the Securities Exchange Act of 1934 may be unaudited. An inactive entity is one meeting all of the...


If the financial statements in a filing are as of a date the number of days specified in paragraph (g) of this section or more prior to the date the filing is expected to...


and where consistent with the protection of investors, permit the omission of one or more of the financial statements herein required or the filing in substitution...


the registrant has acquired one or more properties which in the aggregate are significant, or since the date of the latest balance sheet required has acquired or...


include the following additional captions between those required by Sec. 210.5-03.15 and 16: (i) [[Page 277]] Income or loss before gain or loss on sale...


of the registrant's affiliates whose securities constitute a substantial portion of the collateral for any class of securities registered or being registered, there shall be filed...


file an unaudited balance sheet as of a date within 90 days of date of filing and unaudited statements of income for each of the three most recent fiscal years. (b)...


companies. (a) For filings by registered management investment companies, the following financial statements shall be filed: (1) An audited balance...


this chapter, shall state amounts in its primary financial statements in the currency which it deems appropriate. (b) The currency in which amounts in the financial...


combined financial statements. [44 FR 19386, Apr. 3, 1979. Redesignated at 45 FR 63687, Sept. 25, 1980, and amended at 50 FR 25215, June...


registrant must consider what financial presentation is most meaningful in the circumstances and should follow in the consolidated financial statements principles of...


in consolidating or combining the separate financial statements, including the principles followed in determining the inclusion or [[Page 281]] exclusion of...


included in the (a) consolidated financial statements being filed and, as appropriate, (b) unrealized intercompany profits and losses on transactions between persons for...


public utility holding company the difference between the amount at which the parent's investment is carried and the underlying book equity of subsidiaries as at the...


accepted terminology, as will best indicate their significance and character in the light of the provisions applicable thereto. The information required with respect to...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR210.4-02] [Page 282] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 210_FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, Sec. 210.4-02 Items not material. If the amount which would otherwise be required to be shown with respect to any item is not material, it need not be separately set forth. The combination of insignificant amounts is permitted. ...


any financial statement as to which the items and conditions are not present. (b) Financial statements not required or inapplicable because the required matter is not...


to two or more financial statements relating to the same or affiliated persons, for which separate sets of notes are presented, the required information may be shown in a note...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR210.4-07] [Page 282] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 210_FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, Sec. 210.4-07 Discount on shares. Discount on shares, or any unamortized balance thereof, shall be shown separately as a deduction from the applicable account(s) as circumstances require. ...


following shall be set forth on the face of the appropriate statement or in appropriately captioned notes. The information shall be provided for each statement required to be...


following shall be set forth on the face of the appropriate statement or in appropriately captioned notes. The information shall be provided for each statement required to be...
...


for all persons except-- (a) Registered investment companies (see Sec. Sec. 210.6-01 to 210.6-10). (b) Employee stock purchase, savings and similar plans...


if applicable, and except as otherwise permitted by the Commission, should appear on the face of the balance sheets or related notes filed for the persons to whom...


as otherwise permitted by the Commission, should appear on the face of the income statements filed for the persons to whom this article pertains (see Sec. 210.4-01(a)). ...


below in this Section as Schedules II and III shall be filed as of the date of the most recent audited balanced sheet for each person or group. (2) Schedule...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR210.6-01] [Page 300] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 210_FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, Sec. 210.6-01 Application of Sec. Sec. 210.6-01 to 210.6-10. Sections 210.6-01 to 210.6-10 shall be applicable to financial statements filed for registered investment companies. ...


(Also see Sec. 210.1-02 of this part.) (a) Affiliate. The term affiliate means an affiliated person as defined in section 2(a)(3) of the Investment Company Act...


which Sec. Sec. 210.6-01 to 210.6-10 are applicable shall be prepared in accordance with the following special rules in addition to the general rules in Sec. Sec. 210.1-01...


substitute a statement of net assets in accordance with the requirements specified in Sec. 210.6- 05, and issuers of face-amount certificates which are subject to the...


a statement of net assets if at least 95 percent of the amount of the person's total assets are represented by investments in securities of unaffiliated issuers. If...


issuers of face-amount certificates shall comply with the following provisions: Assets 1. Investments. State separately each...


face-amount certificates subject to the special provisions of Sec. 210.6-08 of this part, shall comply with the following provisions: Statements...


operations filed by issuers of face-amount certificates shall comply with the following provisions: Statements of Operations 1....


shall comply with the following provisions: Statements of Changes in Net Assests 1. Operations. State separately: (a) Investment income-net as...


it may be presented in the form of a single schedule, provided that items pertaining to the registrant are separately shown and that such single schedule affords...


it may be presented in the form of a single schedule, provided that items pertaining to the registrant are separately shown and that such single schedule affords...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR210.6A-01] [Page 309] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 210_FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, Sec. 210.6A-01 Application of Sec. Sec. 210.6A-01 to 210.6A-05. (a) Sections 210.6A-01 to 210.6A-05 shall be applicable to financial statements filed for employee stock purchase, savings and similar plans. (b) [Reserved] [47 FR 56843, Dec. 21, 1982] ...


to which this article is applicable shall be prepared in accordance with the following special rules in addition to the general rules in Sec. Sec. 210.1-01 to 210.4- 10....


following provisions: [[Page 310]] Plan Assets 1. Investments in securities of participating employers. State separately...


comply with the following provisions: 1. Net investment income. (a) Income. State separately income from (1) cash dividends; (2) interest, and (3) other...


of financial condition and any subsequent unaudited statement of financial condition being filed. Schedule II shall be filed as of the date of each statement of...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR210.7-01] [Page 311] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 210_FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, Sec. 210.7-01 Application of Sec. Sec. 210.7-01 to 210.7-05. This article shall be applicable to financial statements filed for insurance companies. ...


and 4) shall be applicable except where they differ from requirements of Sec. Sec. 210.7-01 to 210.7-05. (b) Financial statements filed for mutual life insurance companies...


otherwise permitted by the Commission, should appear on the face of the balance sheets and in the notes thereto filed for persons to whom this article pertains. (See...


the face of the income statements and in the notes thereto filed for persons to whom this article pertains. (See Sec. 210.4-01(a).) ...


below in this section as Schedules I shall be as of the date of the most recent audited balance sheet for each person or group. (2) The schedules specified...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR210.9-01] [Page 315] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 210_FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, Sec. 210.9-01 Application of Sec. Sec. 210.9-01 to 210.9-07 This article is applicable to consolidated financial statements filed for bank holding companies and to any financial statements of banks that are included in filings with the Commission. ...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR210.9-02] [Page 315] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 210_FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, Sec. 210.9-02 General requirement. The requirements of the general rules in Sec. Sec. 210.1 to 210.4 (Articles 1, 2, 3, 3A and 4) should be complied with where applicable. ...


face of the balance sheets or in the notes thereto. Assets 1. Cash and due from banks. The amounts in this caption...


the face of the income statement or in the notes thereto. 1. Interest and fees on loans. Include commitment and origination fees, late charges and current amortization...


in which either (1) assets, or (2) revenue, or (3) income (loss) before income tax expense, or (4) net income (loss), each as associated with foreign activities, exceeded...


to the financial statements when the restricted net assets (Sec. 210.4-08(e)(3)) of consolidated subsidiaries exceed 25 percent of consolidated net assets as of the end of...


and content of presentation prescribed by the other sections of this Regulation with the following exceptions: (1) Interim financial statements required by this rule need only...


(1) During the most recent fiscal year or subsequent interim period for which a balance sheet is required by Sec. 210.3-01, a significant business...


the continuing impact of a particular transaction by showing how it might have affected historical financial statements if the transaction had been consummated at an...


of income required by Sec. 210.11-02(b)(1). (1) The financial forecast shall cover a period of at least 12 months from the latest of (i) the most recent balance sheet...


[Code of Federal Regulations] [Title 17, Volume 2] [Revised as of April 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 17CFR210.12-01] [Page 326] TITLE 17--COMMODITY AND SECURITIES EXCHANGES CHAPTER II--SECURITIES AND EXCHANGE COMMISSION PART 210_FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, Sec. 210.12-01 Application of Sec. Sec. 210.12-01 to 210.12-29. These sections prescribe the form and content of the schedules required by Sec. Sec. 210.5-04, 210.6-10, 210.6A-05, and 210.7-05. [59 FR 65637, Dec. 20, 1994] ...


flows and results of operations of the registrant as of the same dates and for the same periods for which audited consolidated financial statements are required. The...


Column C--Additions ...


Col. A Col. B Col. C ------------------------------------------------------------------------ Name of issuer and title of...


Col. A Col. B Col. C ------------------------------------------------------------------------ Name of issuer and title of...




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