17 C.F.R. PART 201--RULES OF PRACTICE
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
|
|
| Eligibility of applicants.
|
|
|
|
| Allowable fees and expenses.
|
|
|
|
| Delegations of authority.
|
|
|
|
| Documentation of fees and expenses.
|
|
|
|
| When an application may be filed.
|
|
|
|
| Filing and service of documents.
|
|
Subpart C--PROCEDURES PERTAINING TO THE PAYMENT OF BOUNTIES PURSUANT TO SUBSECTION 21A(E) OF THE SECURITIES EXCHANGE ACT OF 1934
|
|
| Time and place of filing.
|
|
|
|
| Form of application and information required.
|
|
|
|
| Applications by legal guardians.
|
|
Subpart D--RULES OF PRACTICE
|
|
| Scope of the rules of practice.
|
|
|
|
| Appearance and practice before the Commission.
|
|
|
|
| Hearing officer: Authority.
|
|
|
|
| Hearing officer: Disqualification and withdrawal.
|
|
|
|
| Commission orders and decisions: Signature and availability.
|
|
|
|
| Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
|
|
|
|
| Service of papers by parties.
|
|
|
|
| Filing of papers with the Commission: Procedure.
|
|
|
|
| Filing of papers: Signature requirement and effect.
|
|
|
|
| Default; motion to set aside default.
|
|
|
|
| Extensions of time, postponements and adjournments.
|
|
|
|
| Confidential treatment of information in certain filings.
|
|
|
|
| Adjudications not required to be determined on the record after notice and opportunity for hearing.
|
|
|
|
| Rulemaking: Issuance, amendment and repeal of rules of general application.
|
|
|
|
| Applications by barred individuals for consent to associate.
|
|
|
|
| Initiation of proceedings.
|
|
|
|
| Consolidation and severance of proceedings.
|
|
|
|
| Specification of procedures by parties in certain proceedings.
|
|
|
|
| Parties, limited participants and amici curiae.
|
|
|
|
| Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.
|
|
|
|
| Enforcement and disciplinary proceedings: Production of witness statements.
|
|
|
|
| Depositions upon oral examination.
|
|
|
|
| Depositions upon written questions.
|
|
|
|
| Introducing prior sworn statements of witnesses into the record.
|
|
|
|
| Motion for summary disposition.
|
|
|
|
| Failure to appear at hearings: Default.
|
|
|
|
| Evidence: Objections and offers of proof.
|
|
|
|
| Evidence: Confidential information, protective orders.
|
|
|
|
| Evidence: Official notice.
|
|
|
|
| Evidence: Presentation under oath or affirmation.
|
|
|
|
| Evidence: Presentation, rebuttal and cross-examination.
|
|
|
|
| Proposed findings, conclusions and supporting briefs.
|
|
|
|
| Record in proceedings before hearing officer; retention of documents; copies.
|
|
|
|
| Transmittal of documents to Secretary; record index; certification.
|
|
|
|
| Initial decision of hearing officer.
|
|
|
|
| Appeal of initial decisions by hearing officers.
|
|
|
|
| Commission consideration of initial decisions by hearing officers.
|
|
|
|
| Appeal of determinations by self-regulatory organizations.
|
|
|
|
| Commission consideration of determinations by self-regulatory organizations.
|
|
|
|
| Appeal of actions made pursuant to delegated authority.
|
|
|
|
| Commission consideration of actions made pursuant to delegated authority.
|
|
|
|
| Appeal of determinations by the Public Company Accounting Oversight Board.
|
|
|
|
| Commission consideration of Board determinations.
|
|
|
|
| Briefs filed with the Commission.
|
|
|
|
| Oral argument before the Commission.
|
|
|
|
| Record before the Commission.
|
|
|
|
| Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).
|
|
|
|
| Expedited consideration of proceedings.
|
|
|
|
| Temporary cease-and-desist orders: Application process.
|
|
|
|
| Temporary cease-and-desist orders: Notice; procedures for hearing.
|
|
|
|
| Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.
|
|
|
|
| Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.
|
|
|
|
| Temporary cease-and-desist orders: Judicial review; duration.
|
|
|
|
| Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.
|
|
|
|
| Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.
|
|
|
|
| Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.
|
|
|
|
| Suspension of registrations: Duration.
|
|
|
|
| Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.
|
|
|
|
| Initial decision on permanent order: Effect on temporary order.
|
|
|
|
| Appeal and Commission review of initial decision making a temporary order permanent.
|
|
|
|
| Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
|
|
|
|
| Interest on sums disgorged.
|
|
|
|
| Prompt payment of disgorgement, interest and penalties.
|
|
|
|
| Inability to pay disgorgement, interest or penalties.
|
|
|
|
| Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings.
|
|
Subpart E--ADJUSTMENT OF CIVIL MONETARY PENALTIES
|
|
| Adjustment of civil monetary penalties--1996.
|
|
|
|
| Adjustment of civil monetary penalties--2001.
|
|
|
|
| Adjustment of civil monetary penalties--2005.
|
|
Subpart F--FAIR FUND AND DISGORGEMENT PLANS
|
|
| Submission of plan of distribution; contents of plan.
|
|
|
|
| Notice of proposed plan and opportunity for comment by non-parties.
|
|
|
|
| Order approving, modifying, or disapproving proposed plan.
|
|
