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Electronic Code of Federal Regulations

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e-CFR Data is current as of October 22, 2014

Title 17Chapter IIPart 200


TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION

PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS

rule

Subpart A—ORGANIZATION AND PROGRAM MANAGEMENT

§200.1
General statement and statutory authority.
§200.2
Statutory functions.

General Organization

§200.10
The Commission.
§200.11
Headquarters Office—Regional Office relationships.
§200.12
Functional responsibilities.
§200.13
Chief Operating Officer.
§200.13a
The Secretary of the Commission.
§200.13b
Director of the Office of Public Affairs, Policy Evaluation, and Research.
§200.14
Office of Administrative Law Judges.
§200.15
Office of International Affairs.
§200.16
Executive Assistant to the Chairman.
§200.16a
Inspector General.
§200.17
Chief Management Analyst.
§200.18
Director of Division of Corporation Finance.
§200.19a
Director of the Division of Trading and Markets.
§200.19b
Director of the Division of Enforcement.
§200.19c
Director of the Office of Compliance Inspections and Examinations.
§200.19d
Director of the Office of Municipal Securities.
§200.20b
Director of Division of Investment Management.
§200.21
The General Counsel.
§200.21a
The Ethics Counsel.
§200.22
The Chief Accountant.
§200.23a
Office of Economic Analysis.
§200.23b
[Reserved]
§200.24
Office of Financial Management.
§200.24a
Director of the Office of Consumer Affairs.
§§200.25-200.26
[Reserved]
§200.26a
Office of Information Technology.
§200.27
The Regional Directors.
§200.28
Issuance of instructions.
§200.29
Rules.
§200.30-1
Delegation of authority to Director of Division of Corporation Finance.
§200.30-3
Delegation of authority to Director of Division of Trading and Markets.
§200.30-3a
Delegation of authority to Director of the Office of Municipal Securities.
§200.30-4
Delegation of authority to Director of Division of Enforcement.
§200.30-5
Delegation of authority to Director of Division of Investment Management.
§200.30-6
Delegation of authority to Regional Directors.
§200.30-7
Delegation of authority to Secretary of the Commission.
§200.30-8
[Reserved]
§200.30-9
Delegation of authority to hearing officers.
§200.30-10
Delegation of authority to Chief Administrative Law Judge.
§200.30-11
Delegation of authority to the Chief Accountant.
§200.30-12
[Reserved]
§200.30-13
Delegation of authority to Chief Financial Officer.
§200.30-14
Delegation of authority to the General Counsel.
§200.30-15
Delegation of authority to Chief Operating Officer.
§200.30-16
Delegation of authority to Executive Assistant to the Chairman.
§200.30-17
Delegation of authority to Director of Office of International Affairs.
§200.30-18
Delegation of authority to Director of the Office of Compliance Inspections and Examinations.
rule

Subpart B—DISPOSITION OF COMMISSION BUSINESS

§200.40
Joint disposition of business by Commission meeting.
§200.41
Quorum of the Commission.
§200.42
Disposition of business by seriatim Commission consideration.
§200.43
Disposition of business by exercise of authority delegated to individual Commissioner.
rule

Subpart C—CANONS OF ETHICS

§200.50
Authority.
§200.51
Policy.
§200.52
Copies of the Canons.
§200.53
Preamble.
§200.54
Constitutional obligations.
§200.55
Statutory obligations.
§200.56
Personal conduct.
§200.57
Relationships with other members.
§200.58
Maintenance of independence.
§200.59
Relationship with persons subject to regulation.
§200.60
Qualification to participate in particular matters.
§200.61
Impressions of influence.
§200.62
Ex parte communications.
§200.63
Commission opinions.
§200.64
Judicial review.
§200.65
Legislative proposals.
§200.66
Investigations.
§200.67
Power to adopt rules.
§200.68
Promptness.
§200.69
Conduct toward parties and their counsel.
§200.70
Business promotions.
§200.71
Fiduciary relationships.
§200.72
Supervision of internal organization.
rule

Subpart D—INFORMATION AND REQUESTS

§200.80
Commission records and information.
§200.80a
Appendix A—Documentary materials available to the public.
§200.80b
Appendix B—SEC releases.
§200.80c
Appendix C—Rules and miscellaneous publications available from the Government Printing Office.
§200.80d
Appendix D—Other publications available from the Commission.
§200.80e
Appendix E—Schedule of fees for records services.
§200.80f
Appendix F—Records control schedule.
§200.81
Publication of interpretative, no-action and certain exemption letters and other written communications.
§200.82
Public availability of materials filed pursuant to §240.14a-8(d) and related materials.
§200.82a
Public availability of materials filed pursuant to §240.14a-11(g) and related materials.
§200.83
Confidential treatment procedures under the Freedom of Information Act.
rule

Subpart E—[RESERVED]

rule

Subpart F—CODE OF BEHAVIOR GOVERNING EX PARTE COMMUNICATIONS BETWEEN PERSONS OUTSIDE THE COMMISSION AND DECISIONAL EMPLOYEES

§200.110
Purpose.
§200.111
Prohibitions; application; definitions.
§200.112
Duties of recipient; notice to participants.
§200.113
Opportunity to respond; interception.
§200.114
Sanctions.
rule

Subpart G—PLAN OF ORGANIZATION AND OPERATION EFFECTIVE DURING EMERGENCY CONDITIONS

§200.200
Purpose.
§200.201
General provisions.
§200.202
Offices, and information and submittals.
§200.203
Organization, and delegations of authority.
§200.204
Personnel, fiscal, and service functions.
§200.205
Effect upon existing Commission organization, delegations, and rules.
rule

Subpart H—REGULATIONS PERTAINING TO THE PRIVACY OF INDIVIDUALS AND SYSTEMS OF RECORDS MAINTAINED BY THE COMMISSION

§200.301
Purpose and scope.
§200.302
Definitions.
§200.303
Times, places and requirements for requests pertaining to individual records in a record system and for the identification of individuals making requests for access to the records pertaining to them.
§200.304
Disclosure of requested records.
§200.305
Special procedure: Medical records.
§200.306
Requests for amendment or correction of records.
§200.307
Review of requests for amendment or correction.
§200.308
Appeal of initial adverse agency determination as to access or as to amendment or correction.
§200.309
General provisions.
§200.310
Fees.
§200.311
Penalties.
§200.312
Specific exemptions.
§200.313
Inspector General exemptions.
rule

Subpart I—REGULATIONS PERTAINING TO PUBLIC OBSERVATION OF COMMISSION MEETINGS

§200.400
Open meetings.
§200.401
Definitions.
§200.402
Closed meetings.
§200.403
Notice of Commission meetings.
§200.404
General procedure for determination to close meeting.
§200.405
Special procedure for determination to close meeting.
§200.406
Certification by the General Counsel.
§200.407
Transcripts, minutes, and other documents concerning closed Commission meetings.
§200.408
Public access to transcripts and minutes of closed Commission meetings; record retention.
§200.409
Administrative appeals.
§200.410
Miscellaneous.
rule

Subpart J—CLASSIFICATION AND DECLASSIFICATION OF NATIONAL SECURITY INFORMATION AND MATERIAL

§200.500
Purpose.
§200.501
Applicability.
§200.502
Definition.
§200.503
Senior agency official.
§200.504
Oversight Committee.
§200.505
Original classification.
§200.506
Derivative classification.
§200.507
Declassification dates on derivative documents.
§200.508
Requests for mandatory review for declassification.
§200.509
Challenge to classification by Commission employees.
§200.510
Access by historical researchers.
§200.511
Access by former Presidential appointees.
rule

Subpart K—REGULATIONS PERTAINING TO THE PROTECTION OF THE ENVIRONMENT

§200.550
Purpose.
§200.551
Applicability.
§200.552
NEPA planning.
§200.553
Draft, final and supplemental impact statements.
§200.554
Public availability of information.
rule

Subpart L—ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE SECURITIES AND EXCHANGE COMMISSION

§200.601
Purpose.
§200.602
Application.
§200.603
Definitions.
§§200.604-200.609
[Reserved]
§200.610
Self-evaluation.
§200.611
Notice.
§§200.612-200.629
[Reserved]
§200.630
General prohibitions against discrimination.
§§200.631-200.639
[Reserved]
§200.640
Employment.
§§200.641-200.648
[Reserved]
§200.649
Program accessibility: Discrimination prohibited.
§200.650
Program accessibility: Existing facilities.
§200.651
Program accessibility: New construction and alterations.
§§200.652-200.659
[Reserved]
§200.660
Communications.
§§200.661-200.669
[Reserved]
§200.670
Compliance procedures.
§§200.671-200.699
[Reserved]
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Subpart M—REGULATION CONCERNING CONDUCT OF MEMBERS AND EMPLOYEES AND FORMER MEMBERS AND EMPLOYEES OF THE COMMISSION

§200.735-1
Purpose.
§200.735-2
Policy.
§200.735-3
General provisions.
§200.735-4
Outside employment and activities.
§200.735-5
Securities transactions.
§200.735-6
Action in case of personal interest.
§200.735-7
Negotiation for employment.
§200.735-8
Practice by former members and employees of the Commission.
§200.735-9
Indebtedness.
§200.735-10
Miscellaneous statutory provisions.
§200.735-11
Statement of employment and financial interests.
§200.735-12
Special Government employees.
§200.735-13
Disciplinary and other remedial action.
§200.735-14
Employees on leave of absence.
§200.735-15
Interpretive and advisory service.
§200.735-16
Delegation.
§200.735-17
Administration of the conduct regulation.
§200.735-18
Requests for waivers.
rule

Subpart N—COMMISSION INFORMATION COLLECTION REQUIREMENTS UNDER THE PAPERWORK REDUCTION ACT: OMB CONTROL NUMBERS

§200.800
OMB control numbers assigned pursuant to the Paperwork Reduction Act.


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