17 C.F.R. PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
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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| Headquarters Office--Regional and District 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 Market Regulation.
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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 Division of Investment Management.
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| Office of Filings and Information Services.
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| Office of Economic Analysis.
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| Office of the Comptroller.
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| Director of the Office of Consumer Affairs.
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| Office of Administrative and Personnel Management.
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| Office of Information Technology.
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| The District Administrators.
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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 Market Regulation.
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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 District Administrators.
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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 Associate Executive Director of the Office of Filings and Information Services.
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| Delegation of authority to Associate Executive Director of the Office of Financial Management.
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| Delegation of authority to the General Counsel.
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| Delegation of authority to Executive Director.
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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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| Commission records and information.
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| Appendix A--Documentary materials available to the public.
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| Appendix B--SEC releases.
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| Appendix C--Rules and miscellaneous publications available from the Government Printing Office.
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| Appendix D--Other publications available from the Commission.
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| Appendix E--Schedule of fees for records services.
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| Appendix F--Records control schedule.
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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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| 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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