17 CFR Part 201 — Rules of Practice
Subpart B — Regulations Pertaining to the Equal Access to Justice Act
Subpart D — Rules of Practice
- § 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.
- § 201.524— 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.
- § 201.630— 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.
Subpart E — Adjustment of Civil Monetary Penalties
Subpart F — Fair Fund and Disgorgement Plans