Code of Federal Regulations · Section

§ 200.62 — Ex Parte Communications

17 C.F.R. § 200.62

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All proceedings required to 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 the regular course of such proceeding. A member shall at all times comply with the Commission's Code of Behavior governing ex parte communications between persons outside the Commission and decisional employees, § 200.110 et seq.

17 C.F.R. § 200.61 17 C.F.R. § 200.63

Authorizing Statute

Applicability of other sections of this title
11 U.S.C. § 901
Public information; agency rules, opinions, orders, records, and proceedings
5 U.S.C. § 552
Securities and Exchange Commission
15 U.S.C. § 78d
Classes of securities under this subchapter
15 U.S.C. § 77c
Federal agency responsibilities
44 U.S.C. § 3506
Nondiscrimination under Federal grants and programs
29 U.S.C. § 794