Federal (United States) · Regulations
Subpart D — Rules of Practice
92 sections
92 sections
- 17 C.F.R. § 201.100Scope of the rules of practice.
- 17 C.F.R. § 201.101Definitions.
- 17 C.F.R. § 201.102Appearance and practice before the Commission.
- 17 C.F.R. § 201.103Construction of rules.
- 17 C.F.R. § 201.104Business hours.
- 17 C.F.R. § 201.110Presiding officer.
- 17 C.F.R. § 201.111Hearing officer: Authority.
- 17 C.F.R. § 201.112Hearing officer: Disqualification and withdrawal.
- 17 C.F.R. § 201.120Ex parte communications.
- 17 C.F.R. § 201.121Separation of functions.
- 17 C.F.R. § 201.140Commission orders and decisions: Signature and availability.
- 17 C.F.R. § 201.141Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
- 17 C.F.R. § 201.150Service of papers by parties.
- 17 C.F.R. § 201.151Filing of papers with the Commission: Procedure.
- 17 C.F.R. § 201.152Filing of papers: Form.
- 17 C.F.R. § 201.153Filing of papers: Signature requirement and effect.
- 17 C.F.R. § 201.154Motions.
- 17 C.F.R. § 201.155Default; motion to set aside default.
- 17 C.F.R. § 201.160Time computation.
- 17 C.F.R. § 201.161Extensions of time, postponements and adjournments.
- 17 C.F.R. § 201.180Sanctions.
- 17 C.F.R. § 201.190Confidential treatment of information in certain filings.
- 17 C.F.R. § 201.191Adjudications not required to be determined on the record after notice and opportunity for hearing.
- 17 C.F.R. § 201.192Rulemaking: Issuance, amendment and repeal of rules of general application.
- 17 C.F.R. § 201.193Applications by barred individuals for consent to associate.
- 17 C.F.R. § 201.194Applications 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.
- 17 C.F.R. § 201.200Initiation of proceedings.
- 17 C.F.R. § 201.201Consolidation and severance of proceedings.
- 17 C.F.R. § 201.202Specification of procedures by parties in certain proceedings.
- 17 C.F.R. § 201.210Parties, limited participants and amici curiae.
- 17 C.F.R. § 201.220Answer to allegations.
- 17 C.F.R. § 201.221Prehearing conference.
- 17 C.F.R. § 201.222Prehearing submissions and disclosures.
- 17 C.F.R. § 201.230Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.
- 17 C.F.R. § 201.231Enforcement and disciplinary proceedings: Production of witness statements.
- 17 C.F.R. § 201.232Subpoenas.
- 17 C.F.R. § 201.233Depositions upon oral examination.
- 17 C.F.R. § 201.234Depositions upon written questions.
- 17 C.F.R. § 201.235Introducing prior sworn statements or declarations.
- 17 C.F.R. § 201.240Settlement.
- 17 C.F.R. § 201.250Dispositive motions.
- 17 C.F.R. § 201.300Hearings.
- 17 C.F.R. § 201.301Hearings to be public.
- 17 C.F.R. § 201.302Record of hearings.
- 17 C.F.R. § 201.310Failure to appear at hearings: Default.
- 17 C.F.R. § 201.320Evidence: Admissibility.
- 17 C.F.R. § 201.321Evidence: Objections and offers of proof.
- 17 C.F.R. § 201.322Evidence: Confidential information, protective orders.
- 17 C.F.R. § 201.323Evidence: Official notice.
- 17 C.F.R. § 201.324Evidence: Stipulations.
- 17 C.F.R. § 201.325Evidence: Presentation under oath or affirmation.
- 17 C.F.R. § 201.326Evidence: Presentation, rebuttal and cross-examination.
- 17 C.F.R. § 201.340Proposed findings, conclusions and supporting briefs.
- 17 C.F.R. § 201.350Record in proceedings before hearing officer; retention of documents; copies.
- 17 C.F.R. § 201.351Transmittal of documents to Secretary; record index; electronic copy of exhibits; certification.
- 17 C.F.R. § 201.360Initial decision of hearing officer and timing of hearing.
- 17 C.F.R. § 201.400Interlocutory review.
- 17 C.F.R. § 201.401Consideration of stays.
- 17 C.F.R. § 201.410Appeal of initial decisions by hearing officers.
- 17 C.F.R. § 201.411Commission consideration of initial decisions by hearing officers.
- 17 C.F.R. § 201.420Appeal of determinations by self-regulatory organizations.
- 17 C.F.R. § 201.421Commission consideration of determinations by self-regulatory organizations.
- 17 C.F.R. § 201.440Appeal of determinations by the Public Company Accounting Oversight Board.
- 17 C.F.R. § 201.441Commission consideration of Board determinations.
- 17 C.F.R. § 201.442Appeal of determination by security-based swap execution facility.
- 17 C.F.R. § 201.443Commission consideration of security-based swap execution facility determinations.
- 17 C.F.R. § 201.450Briefs filed with the Commission.
- 17 C.F.R. § 201.451Oral argument before the Commission.
- 17 C.F.R. § 201.452Additional evidence.
- 17 C.F.R. § 201.460Record before the Commission.
- 17 C.F.R. § 201.470Reconsideration.
- 17 C.F.R. § 201.490Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).
- 17 C.F.R. § 201.500Expedited consideration of proceedings.
- 17 C.F.R. § 201.510Temporary cease-and-desist orders: Application process.
- 17 C.F.R. § 201.511Temporary cease-and-desist orders: Notice; procedures for hearing.
- 17 C.F.R. § 201.512Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.
- 17 C.F.R. § 201.513Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.
- 17 C.F.R. § 201.514Temporary cease-and-desist orders: Judicial review; duration.
- 17 C.F.R. § 201.520Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.
- 17 C.F.R. § 201.521Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.
- 17 C.F.R. § 201.522Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.
- 17 C.F.R. § 201.524Suspension of registrations: Duration.
- 17 C.F.R. § 201.530Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.
- 17 C.F.R. § 201.531Initial decision on permanent order: Effect on temporary order.
- 17 C.F.R. § 201.540Appeal and Commission review of initial decision making a temporary order permanent.
- 17 C.F.R. § 201.550Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
- 17 C.F.R. § 201.600Interest on sums disgorged.
- 17 C.F.R. § 201.601Prompt payment of disgorgement, interest and penalties.
- 17 C.F.R. § 201.630Inability to pay disgorgement, interest or penalties.
- 17 C.F.R. § 201.700Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments.
- 17 C.F.R. § 201.701Issuance of order.
- 17 C.F.R. § 201.900Informal procedures and supplementary information concerning adjudicatory proceedings.