Part 200 — Organization; Conduct and Ethics; and Information and Requests
Subpart A — Organization and Program Management
- § 200.1— General statement and statutory authority.
- § 200.2— Statutory functions.
- § 200.10— The Commission.
- § 200.11— Headquarters Office—Regional Office relationships.
- § 200.12— Functional responsibilities.
- § 200.13— Chief Operating Officer.
- § 200.13a— The Secretary of the Commission.
- § 200.13b— Director of the Office of Public Affairs.
- § 200.14— Office of Administrative Law Judges.
- § 200.15— Office of International Affairs.
- § 200.16a— Inspector General.
- § 200.18— Director of Division of Corporation Finance.
- § 200.19a— Director of the Division of Trading and Markets.
- § 200.19b— Director of the Division of Enforcement.
- § 200.19c— Director of the Division of Examinations.
- § 200.19d— Director of the Office of Municipal Securities.
- § 200.19e— Director of the Office of Credit Ratings.
- § 200.20b— Director of Division of Investment Management.
- § 200.21— The General Counsel.
- § 200.21a— The Ethics Counsel.
- § 200.22— The Chief Accountant.
- § 200.23a— Director of the Division of Economic and Risk Analysis and Chief Economist.
- § 200.24— Office of Financial Management.
- § 200.24a— Director of the Office of Investor Education and Advocacy.
- § 200.26a— Office of Information Technology.
- § 200.27— The Regional Directors.
- § 200.28— Issuance of instructions.
- § 200.29— Rules.
- § 200.30-1— Delegation of authority to Director of Division of Corporation Finance.
- § 200.30-2— Delegation of authority to the Director of the Division of Economic and Risk Analysis and Chief Economist.
- § 200.30-3— Delegation of authority to Director of Division of Trading and Markets.
- § 200.30-3a— Delegation of authority to Director of the Office of Municipal Securities.
- § 200.30-3b— Delegation of authority to Director of the Office of Credit Ratings.
- § 200.30-4— Delegation of authority to Director of Division of Enforcement.
- § 200.30-5— Delegation of authority to Director of Division of Investment Management.
- § 200.30-6— Delegation of authority to Regional Directors.
- § 200.30-7— Delegation of authority to Secretary of the Commission.
- § 200.30-9— Delegation of authority to hearing officers.
- § 200.30-10— Delegation of authority to Chief Administrative Law Judge.
- § 200.30-11— Delegation of authority to the Chief Accountant.
- § 200.30-13— Delegation of authority to Chief Financial Officer.
- § 200.30-14— Delegation of authority to the General Counsel.
- § 200.30-15— Delegation of authority to Chief Operating Officer.
- § 200.30-17— Delegation of authority to Director of Office of International Affairs.
- § 200.30-18— Delegation of authority to Director of the Division of Examinations.
- § 200.30-19— Delegation of authority to Director of the EDGAR Business Office.
Subpart B — Disposition of Commission Business
Subpart C — Canons of Ethics
- § 200.50— Authority.
- § 200.51— Policy.
- § 200.52— Copies of the Canons.
- § 200.53— Preamble.
- § 200.54— Constitutional obligations.
- § 200.55— Statutory obligations.
- § 200.56— Personal conduct.
- § 200.57— Relationships with other members.
- § 200.58— Maintenance of independence.
- § 200.59— Relationship with persons subject to regulation.
- § 200.60— Qualification to participate in particular matters.
- § 200.61— Impressions of influence.
- § 200.62— Ex parte communications.
- § 200.63— Commission opinions.
- § 200.64— Judicial review.
- § 200.65— Legislative proposals.
- § 200.66— Investigations.
- § 200.67— Power to adopt rules.
- § 200.68— Promptness.
- § 200.69— Conduct toward parties and their counsel.
- § 200.70— Business promotions.
- § 200.71— Fiduciary relationships.
- § 200.72— Supervision of internal organization.
Subpart D — Information and Requests
- § 200.80— Securities and Exchange Commission records and information.
- § 200.81— Publication of interpretative, no-action and certain exemption letters and other written communications.
- § 200.82— Public availability of materials filed pursuant to § 240.14a-8(d) and related materials.
- § 200.83— Confidential treatment procedures under the Freedom of Information Act.
Subpart F — Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees
Subpart G — Plan of Organization and Operation Effective During Emergency Conditions
Subpart H — Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission
- § 200.301— Purpose and scope.
- § 200.302— Definitions.
- § 200.303— Procedures for making inquiries and requests for access.
- § 200.304— Responses to inquiries and requests for access.
- § 200.305— Requests for amendment or correction of records.
- § 200.306— Review of requests for amendment or correction.
- § 200.307— Requests for an accounting of record disclosures.
- § 200.308— Administrative appeals.
- § 200.309— Fees.
- § 200.310— Specific exemptions.
- § 200.311— Inspector General exemptions.
Subpart I — Regulations Pertaining to Public Observation of Commission Meetings
- § 200.400— Open meetings.
- § 200.401— Definitions.
- § 200.402— Closed meetings.
- § 200.403— Notice of Commission meetings.
- § 200.404— General procedure for determination to close meeting.
- § 200.405— Special procedure for determination to close meeting.
- § 200.406— Certification by the General Counsel.
- § 200.407— Transcripts, minutes, and other documents concerning closed Commission meetings.
- § 200.408— Public access to transcripts and minutes of closed Commission meetings; record retention.
- § 200.409— Administrative appeals.
- § 200.410— Miscellaneous.
Subpart J — Classification and Declassification of National Security Information and Material
- § 200.500— Purpose.
- § 200.501— Applicability.
- § 200.502— Definition.
- § 200.503— Senior agency official.
- § 200.504— Oversight Committee.
- § 200.505— Original classification.
- § 200.506— Derivative classification.
- § 200.507— Declassification dates on derivative documents.
- § 200.508— Requests for mandatory review for declassification.
- § 200.509— Challenge to classification by Commission employees.
- § 200.510— Access by historical researchers.
- § 200.511— Access by former Presidential appointees.
Subpart K — Regulations Pertaining to the Protection of the Environment
Subpart L — Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission
- § 200.601— Purpose.
- § 200.602— Application.
- § 200.603— Definitions.
- § 200.610— Self-evaluation.
- § 200.611— Notice.
- § 200.630— General prohibitions against discrimination.
- § 200.640— Employment.
- § 200.649— Program accessibility: Discrimination prohibited.
- § 200.650— Program accessibility: Existing facilities.
- § 200.651— Program accessibility: New construction and alterations.
- § 200.660— Communications.
- § 200.670— Compliance procedures.
Subpart M — Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
- § 200.735-1— Purpose.
- § 200.735-2— Policy.
- § 200.735-3— General provisions.
- § 200.735-4— Outside employment and activities.
- § 200.735-5— Securities transactions.
- § 200.735-6— Action in case of personal interest.
- § 200.735-7— Negotiation for employment.
- § 200.735-8— Practice by former members and employees of the Commission.
- § 200.735-9— Indebtedness.
- § 200.735-10— Miscellaneous statutory provisions.
- § 200.735-11— Statement of employment and financial interests.
- § 200.735-12— Special Government employees.
- § 200.735-13— Disciplinary and other remedial action.
- § 200.735-14— Employees on leave of absence.
- § 200.735-15— Interpretive and advisory service.
- § 200.735-16— Delegation.
- § 200.735-17— Administration of the conduct regulation.
- § 200.735-18— Requests for waivers.