Code of Federal Regulations · Subpart
Subpart D — Rules Of Practice
17 C.F.R. pt. 201, subpt. D
- § 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
- § 201.194 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
- § 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 And Disclosures
- § 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 Or Declarations
- § 201.240 Settlement
- § 201.250 Dispositive Motions
- § 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; Electronic Copy Of Exhibits; Certification
- § 201.360 Initial Decision Of Hearing Officer And Timing Of Hearing
- § 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
- § 201.442 Appeal Of Determination By Security-based Swap Execution Facility
- § 201.443 Commission Consideration Of Security-based Swap Execution Facility 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)
- § 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)
- § 201.600 Interest On Sums Disgorged
- § 201.601 Prompt Payment Of Disgorgement, Interest And Penalties
- § 201.620 [reserved]
- § 201.630 Inability To Pay Disgorgement, Interest Or Penalties
- § 201.700 Initiation Of Proceedings For Sro Proposed Rule Changes And For Proposed Nms Plans And Plan Amendments
- § 201.701 Issuance Of Order
- § 201.900 Informal Procedures And Supplementary Information Concerning Adjudicatory Proceedings
- § 201.610-201.614 §§ 201.610-201.614 [reserved]