e-CFR data is current as of June 24, 2021
TITLE 17—Commodity and Securities Exchanges
CHAPTER II—SECURITIES AND EXCHANGE COMMISSION PART 201—RULES OF PRACTICE
Subpart A—[RESERVED]
Subpart B—REGULATIONS PERTAINING TO THE EQUAL ACCESS TO JUSTICE ACT
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| Eligibility of applicants. |
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| Allowable fees and expenses. |
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| Delegations of authority. |
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| Documentation of fees and expenses. |
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| When an application may be filed. |
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| Filing and service of documents. |
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Subpart C—[RESERVED]
Subpart D—RULES OF PRACTICE
General Rules
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| Scope of the rules of practice. |
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| Appearance and practice before the Commission. |
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| Hearing officer: Authority. |
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| Hearing officer: Disqualification and withdrawal. |
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| Commission orders and decisions: Signature and availability. |
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| Orders and decisions: Service of orders instituting proceedings and other orders and decisions. |
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| Service of papers by parties. |
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| Filing of papers with the Commission: Procedure. |
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| Filing of papers: Signature requirement and effect. |
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| Default; motion to set aside default. |
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| Extensions of time, postponements and adjournments. |
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| Confidential treatment of information in certain filings. |
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| Adjudications not required to be determined on the record after notice and opportunity for hearing. |
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| Rulemaking: Issuance, amendment and repeal of rules of general application. |
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| Applications by barred individuals for consent to associate. |
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| Applications by security-based swap dealers or major security-based swap participants for statutorily disqualified associated persons to effect or be involved in effecting security-based swaps. |
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Initiation of Proceedings and Prehearing Rules
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| Initiation of proceedings. |
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| Consolidation and severance of proceedings. |
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| Specification of procedures by parties in certain proceedings. |
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| Parties, limited participants and amici curiae. |
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| Prehearing submissions and disclosures. |
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| Enforcement and disciplinary proceedings: Availability of documents for inspection and copying. |
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| Enforcement and disciplinary proceedings: Production of witness statements. |
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| Depositions upon oral examination. |
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| Depositions upon written questions. |
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| Introducing prior sworn statements or declarations. |
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Rules Regarding Hearings
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| Failure to appear at hearings: Default. |
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| Evidence: Objections and offers of proof. |
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| Evidence: Confidential information, protective orders. |
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| Evidence: Official notice. |
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| Evidence: Presentation under oath or affirmation. |
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| Evidence: Presentation, rebuttal and cross-examination. |
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| Proposed findings, conclusions and supporting briefs. |
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| Record in proceedings before hearing officer; retention of documents; copies. |
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| Transmittal of documents to Secretary; record index; electronic copy of exhibits; certification. |
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| Initial decision of hearing officer and timing of hearing. |
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Appeal to the Commission and Commission Review
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| Appeal of initial decisions by hearing officers. |
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| Commission consideration of initial decisions by hearing officers. |
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| Appeal of determinations by self-regulatory organizations. |
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| Commission consideration of determinations by self-regulatory organizations. |
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| Appeal of actions made pursuant to delegated authority. |
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| Commission consideration of actions made pursuant to delegated authority. |
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| Appeal of determinations by the Public Company Accounting Oversight Board. |
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| Commission consideration of Board determinations. |
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| Briefs filed with the Commission. |
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| Oral argument before the Commission. |
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| Record before the Commission. |
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| Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1). |
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Rules Relating to Temporary Orders and Suspensions
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| Expedited consideration of proceedings. |
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| Temporary cease-and-desist orders: Application process. |
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| Temporary cease-and-desist orders: Notice; procedures for hearing. |
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| Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing. |
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| Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing. |
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| Temporary cease-and-desist orders: Judicial review; duration. |
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| Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application. |
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| Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application. |
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| Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order. |
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| Suspension of registrations: Duration. |
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| Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision. |
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| Initial decision on permanent order: Effect on temporary order. |
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| Appeal and Commission review of initial decision making a temporary order permanent. |
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| Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A). |
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Rules Regarding Disgorgement and Penalty Payments
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| Interest on sums disgorged. |
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| Prompt payment of disgorgement, interest and penalties. |
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| Inability to pay disgorgement, interest or penalties. |
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| Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments. |
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Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings
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| Informal procedures and supplementary information concerning adjudicatory proceedings. |
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Subpart E—ADJUSTMENT OF CIVIL MONETARY PENALTIES
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| Adjustment of civil monetary penalties. |
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Subpart F—FAIR FUND AND DISGORGEMENT PLANS
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| Submission of plan of distribution; contents of plan. |
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| Notice of proposed plan and opportunity for comment by non-parties. |
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| Order approving, modifying, or disapproving proposed plan. |
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