e-CFR data is current as of January 19, 2021
TITLE 17—Commodity and Securities Exchanges
CHAPTER II—SECURITIES AND EXCHANGE COMMISSION PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
Subpart A—ORGANIZATION AND PROGRAM MANAGEMENT
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| General statement and statutory authority. |
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General Organization
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| Headquarters Office—Regional Office relationships. |
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| Functional responsibilities. |
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| The Secretary of the Commission. |
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| Director of the Office of Public Affairs, Policy Evaluation, and Research. |
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| Office of Administrative Law Judges. |
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| Office of International Affairs. |
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| Executive Assistant to the Chairman. |
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| Chief Management Analyst. |
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| Director of Division of Corporation Finance. |
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| Director of the Division of Trading and Markets. |
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| Director of the Division of Enforcement. |
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| Director of the Office of Compliance Inspections and Examinations. |
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| Director of the Office of Municipal Securities. |
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| Director of Division of Investment Management. |
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| Office of Economic Analysis. |
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| Office of Financial Management. |
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| Director of the Office of Consumer Affairs. |
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| Office of Information Technology. |
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| Issuance of instructions. |
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| Delegation of authority to Director of Division of Corporation Finance. |
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| Delegation of authority to Director of Division of Trading and Markets. |
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| Delegation of authority to Director of the Office of Municipal Securities. |
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| Delegation of authority to Director of Division of Enforcement. |
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| Delegation of authority to Director of Division of Investment Management. |
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| Delegation of authority to Regional Directors. |
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| Delegation of authority to Secretary of the Commission. |
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| Delegation of authority to hearing officers. |
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| Delegation of authority to Chief Administrative Law Judge. |
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| Delegation of authority to the Chief Accountant. |
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| Delegation of authority to Chief Financial Officer. |
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| Delegation of authority to the General Counsel. |
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| Delegation of authority to Chief Operating Officer. |
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| Delegation of authority to Executive Assistant to the Chairman. |
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| Delegation of authority to Director of Office of International Affairs. |
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| Delegation of authority to Director of the Office of Compliance Inspections and Examinations. |
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Subpart B—DISPOSITION OF COMMISSION BUSINESS
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| Joint disposition of business by Commission meeting. |
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| Quorum of the Commission. |
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| Disposition of business by seriatim Commission consideration. |
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| Disposition of business by exercise of authority delegated to individual Commissioner. |
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Subpart C—CANONS OF ETHICS
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| Constitutional obligations. |
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| Relationships with other members. |
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| Maintenance of independence. |
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| Relationship with persons subject to regulation. |
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| Qualification to participate in particular matters. |
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| Impressions of influence. |
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| Conduct toward parties and their counsel. |
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| Supervision of internal organization. |
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Subpart D—INFORMATION AND REQUESTS
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| Securities and Exchange Commission records and information. |
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| Publication of interpretative, no-action and certain exemption letters and other written communications. |
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| Public availability of materials filed pursuant to §240.14a-8(d) and related materials. |
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| Public availability of materials filed pursuant to §240.14a-11(g) and related materials. |
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| Confidential treatment procedures under the Freedom of Information Act. |
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Subpart E—[RESERVED]
Subpart F—CODE OF BEHAVIOR GOVERNING EX PARTE COMMUNICATIONS BETWEEN PERSONS OUTSIDE THE COMMISSION AND DECISIONAL EMPLOYEES
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| Prohibitions; application; definitions. |
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| Duties of recipient; notice to participants. |
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| Opportunity to respond; interception. |
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Subpart G—PLAN OF ORGANIZATION AND OPERATION EFFECTIVE DURING EMERGENCY CONDITIONS
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| Offices, and information and submittals. |
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| Organization, and delegations of authority. |
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| Personnel, fiscal, and service functions. |
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| Effect upon existing Commission organization, delegations, and rules. |
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Subpart H—REGULATIONS PERTAINING TO THE PRIVACY OF INDIVIDUALS AND SYSTEMS OF RECORDS MAINTAINED BY THE COMMISSION
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| 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. |
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| Disclosure of requested records. |
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| Special procedure: Medical records. |
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| Requests for amendment or correction of records. |
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| Review of requests for amendment or correction. |
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| Appeal of initial adverse agency determination as to access or as to amendment or correction. |
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| Inspector General exemptions. |
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Subpart I—REGULATIONS PERTAINING TO PUBLIC OBSERVATION OF COMMISSION MEETINGS
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| Notice of Commission meetings. |
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| General procedure for determination to close meeting. |
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| Special procedure for determination to close meeting. |
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| Certification by the General Counsel. |
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| Transcripts, minutes, and other documents concerning closed Commission meetings. |
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| Public access to transcripts and minutes of closed Commission meetings; record retention. |
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Subpart J—CLASSIFICATION AND DECLASSIFICATION OF NATIONAL SECURITY INFORMATION AND MATERIAL
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| Derivative classification. |
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| Declassification dates on derivative documents. |
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| Requests for mandatory review for declassification. |
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| Challenge to classification by Commission employees. |
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| Access by historical researchers. |
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| Access by former Presidential appointees. |
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Subpart K—REGULATIONS PERTAINING TO THE PROTECTION OF THE ENVIRONMENT
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| Draft, final and supplemental impact statements. |
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| Public availability of information. |
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Subpart L—ENFORCEMENT OF NONDISCRIMINATION ON THE BASIS OF HANDICAP IN PROGRAMS OR ACTIVITIES CONDUCTED BY THE SECURITIES AND EXCHANGE COMMISSION
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| General prohibitions against discrimination. |
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| Program accessibility: Discrimination prohibited. |
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| Program accessibility: Existing facilities. |
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| Program accessibility: New construction and alterations. |
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Subpart M—REGULATION CONCERNING CONDUCT OF MEMBERS AND EMPLOYEES AND FORMER MEMBERS AND EMPLOYEES OF THE COMMISSION
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| Outside employment and activities. |
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| Action in case of personal interest. |
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| Negotiation for employment. |
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| Practice by former members and employees of the Commission. |
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| Miscellaneous statutory provisions. |
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| Statement of employment and financial interests. |
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| Special Government employees. |
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| Disciplinary and other remedial action. |
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| Employees on leave of absence. |
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| Interpretive and advisory service. |
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| Administration of the conduct regulation. |
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Subpart N—COMMISSION INFORMATION COLLECTION REQUIREMENTS UNDER THE PAPERWORK REDUCTION ACT: OMB CONTROL NUMBERS
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| OMB control numbers assigned pursuant to the Paperwork Reduction Act. |
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