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Electronic Code of Federal Regulations

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e-CFR Data is current as of October 29, 2014

Title 17Chapter IIPart 201


TITLE 17—Commodity and Securities Exchanges

CHAPTER II—SECURITIES AND EXCHANGE COMMISSION

PART 201—RULES OF PRACTICE

rule

Subpart A—[RESERVED]

rule

Subpart B—REGULATIONS PERTAINING TO THE EQUAL ACCESS TO JUSTICE ACT

§201.31
Purpose of these rules.
§201.32
When the Act applies.
§201.33
Proceedings covered.
§201.34
Eligibility of applicants.
§201.35
Standards for awards.
§201.36
Allowable fees and expenses.
§201.37
Delegations of authority.
§201.41
Contents of application.
§201.42
Net worth exhibit.
§201.43
Documentation of fees and expenses.
§201.44
When an application may be filed.
§201.51
Filing and service of documents.
§201.52
Answer to application.
§201.53
Reply.
§201.54
Settlement.
§201.55
Further proceedings.
§201.56
Decision.
§201.57
Commission review.
§201.58
Judicial review.
§201.59
Payment of award.
§201.60
[Reserved]
rule

Subpart C—[RESERVED]

rule

Subpart D—RULES OF PRACTICE

General Rules

§201.100
Scope of the rules of practice.
§201.101
Definitions.
§201.102
Appearance and practice before the Commission.
§201.103
Construction of rules.
§201.104
Business hours.
§201.110
Presiding officer.
§201.111
Hearing officer: Authority.
§201.112
Hearing officer: Disqualification and withdrawal.
§201.120
Ex parte communications.
§201.121
Separation of functions.
§201.140
Commission orders and decisions: Signature and availability.
§201.141
Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
§201.150
Service of papers by parties.
§201.151
Filing of papers with the Commission: Procedure.
§201.152
Filing of papers: Form.
§201.153
Filing of papers: Signature requirement and effect.
§201.154
Motions.
§201.155
Default; motion to set aside default.
§201.160
Time computation.
§201.161
Extensions of time, postponements and adjournments.
§201.180
Sanctions.
§201.190
Confidential treatment of information in certain filings.
§201.191
Adjudications not required to be determined on the record after notice and opportunity for hearing.
§201.192
Rulemaking: Issuance, amendment and repeal of rules of general application.
§201.193
Applications by barred individuals for consent to associate.

Initiation of Proceedings and Prehearing Rules

§201.200
Initiation of proceedings.
§201.201
Consolidation and severance of proceedings.
§201.202
Specification of procedures by parties in certain proceedings.
§201.210
Parties, limited participants and amici curiae.
§201.220
Answer to allegations.
§201.221
Prehearing conference.
§201.222
Prehearing submissions.
§201.230
Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.
§201.231
Enforcement and disciplinary proceedings: Production of witness statements.
§201.232
Subpoenas.
§201.233
Depositions upon oral examination.
§201.234
Depositions upon written questions.
§201.235
Introducing prior sworn statements of witnesses into the record.
§201.240
Settlement.
§201.250
Motion for summary disposition.

Rules Regarding Hearings

§201.300
Hearings.
§201.301
Hearings to be public.
§201.302
Record of hearings.
§201.310
Failure to appear at hearings: Default.
§201.320
Evidence: Admissibility.
§201.321
Evidence: Objections and offers of proof.
§201.322
Evidence: Confidential information, protective orders.
§201.323
Evidence: Official notice.
§201.324
Evidence: Stipulations.
§201.325
Evidence: Presentation under oath or affirmation.
§201.326
Evidence: Presentation, rebuttal and cross-examination.
§201.340
Proposed findings, conclusions and supporting briefs.
§201.350
Record in proceedings before hearing officer; retention of documents; copies.
§201.351
Transmittal of documents to Secretary; record index; certification.
§201.360
Initial decision of hearing officer.

Appeal to the Commission and Commission Review

§201.400
Interlocutory review.
§201.401
Consideration of stays.
§201.410
Appeal of initial decisions by hearing officers.
§201.411
Commission consideration of initial decisions by hearing officers.
§201.420
Appeal of determinations by self-regulatory organizations.
§201.421
Commission consideration of determinations by self-regulatory organizations.
§201.430
Appeal of actions made pursuant to delegated authority.
§201.431
Commission consideration of actions made pursuant to delegated authority.
§201.440
Appeal of determinations by the Public Company Accounting Oversight Board.
§201.441
Commission consideration of Board determinations.
§201.450
Briefs filed with the Commission.
§201.451
Oral argument before the Commission.
§201.452
Additional evidence.
§201.460
Record before the Commission.
§201.470
Reconsideration.
§201.490
Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).

Rules Relating to Temporary Orders and Suspensions

§201.500
Expedited consideration of proceedings.
§201.510
Temporary cease-and-desist orders: Application process.
§201.511
Temporary cease-and-desist orders: Notice; procedures for hearing.
§201.512
Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.
§201.513
Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.
§201.514
Temporary cease-and-desist orders: Judicial review; duration.
§201.520
Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.
§201.521
Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.
§201.522
Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.
§201.523
[Reserved]
§201.524
Suspension of registrations: Duration.
§201.530
Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.
§201.531
Initial decision on permanent order: Effect on temporary order.
§201.540
Appeal and Commission review of initial decision making a temporary order permanent.
§201.550
Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

Rules Regarding Disgorgement and Penalty Payments

§201.600
Interest on sums disgorged.
§201.601
Prompt payment of disgorgement, interest and penalties.
§§201.610-201.614
[Reserved]
§201.620
[Reserved]
§201.630
Inability to pay disgorgement, interest or penalties.
§201.700
Initiation of proceedings for SRO proposed rule changes.
§201.701
Issuance of order.

Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings

§201.900
Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings.
rule

Subpart E—ADJUSTMENT OF CIVIL MONETARY PENALTIES

§201.1001
Adjustment of civil monetary penalties—1996.
Appendix
Table 1 to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
§201.1002
Adjustment of civil monetary penalties—2001.
Appendix
Table II to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
§201.1003
Adjustment of civil monetary penalties—2005.
Appendix
Table III to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
§201.1004
Adjustment of civil monetary penalties—2009.
Appendix
Table IV to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
§201.1005
Adjustment of civil monetary penalties—2013.
Appendix
Table V to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
rule

Subpart F—FAIR FUND AND DISGORGEMENT PLANS

§201.1100
Creation of Fair Fund.
§201.1101
Submission of plan of distribution; contents of plan.
§201.1102
Provisions for payment.
§201.1103
Notice of proposed plan and opportunity for comment by non-parties.
§201.1104
Order approving, modifying, or disapproving proposed plan.
§201.1105
Administration of plan.
§201.1106
Right to challenge.


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