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17 CFR Part 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS

There is 1 rule appearing in the Federal Register for 17 CFR 200. Select the tab below to view, or View eCFR (GPOAccess)
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Editorial Note:
At 75 FR 47449, Aug. 6, 2010, the general authority citation for part 200 was revised; however, the amendment could not be incorporated due to inaccurate amendatory instruction.
Editorial Note:
At 76 FR 57637, Sept. 16, 2011, the authority citation for part 200 was amended by adding an authority for § 200.312; however, this amendment could not be incorporated.
Editorial Note:
Nomenclature changes to part 200 appear at 76 FR 60371, Sept. 29, 2011.

Title 17 published on 2012-04-01

The following are only the Rules published in the Federal Register after the published date of Title 17.

For a complete list of all Rules, Proposed Rules, and Notices view the Rulemaking tab.

  • 2013-01-23; vol. 78 # 15 - Wednesday, January 23, 2013
    1. 78 FR 4766 - Authority Citation Correction
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule; technical amendment.
      Effective Date: January 23, 2013.
      17 CFR Part 200

This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.

This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].

It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.


United States Code
USC : Title 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES

§ 552 - Public information; agency rules, opinions, orders, records, and proceedings

§ 552a - Records maintained on individuals

§ 552b - Open meetings

§ 557 - Initial decisions; conclusiveness; review by agency; submissions by parties; contents of decisions; record

USC : Title 11 - BANKRUPTCY

§ 901 - Applicability of other sections of this title

§ 1109 - Right to be heard

USC : Title 15 - COMMERCE AND TRADE

§ 77e - Prohibitions relating to interstate commerce and the mails

§ 77f - Registration of securities

§ 77g - Information required in registration statement

§ 77h - Taking effect of registration statements and amendments thereto

§ 77j - Information required in prospectus

15 USC § -

§ 77q - Fraudulent interstate transactions

§ 77s - Special powers of Commission

§ 77u - Hearings by Commission

§ 77ggg - Qualification of indentures covering securities not required to be registered

§ 77hhh - Integration of procedure with Securities Act and other Acts

§ 77sss - Rules, regulations, and orders

§ 77uuu - Special powers of the Commission

§ 78a - Short title

§ 78b - Necessity for regulation

§ 78c - Definitions and application

15 USC § 78c–1 - Swap agreements

15 USC § 78c–2 - Securities-related derivatives

15 USC § 78c–3 - Clearing for security-based swaps

15 USC § 78c–4 - Security-based swap execution facilities

15 USC § 78c–5 - Segregation of assets held as collateral in security-based swap transactions

§ 78d - Securities and Exchange Commission

15 USC § 78d–1 - Delegation of functions by Commission

15 USC § 78d–2 - Transfer of functions with respect to assignment of personnel to chairman

15 USC § 78d–3 - Appearance and practice before the Commission

15 USC § 78d–4 - Additional duties of Inspector General

15 USC § 78d–5 - Deadline for completing enforcement investigations and compliance examinations and inspections

15 USC § 78d–6 - Report and certification of internal supervisory controls

15 USC § 78d–7 - Triennial report on personnel management

15 USC § 78d–8 - Annual financial controls audit

15 USC § 78d–9 - Report on oversight of national securities associations

§ 78e - Transactions on unregistered exchanges

§ 78f - National securities exchanges

§ 78g - Margin requirements

§ 78h - Restrictions on borrowing and lending by members, brokers, and dealers

§ 78i - Manipulation of security prices

§ 78j - Manipulative and deceptive devices

15 USC § 78j–1 - Audit requirements

15 USC § 78j–2 - Position limits and position accountability for security-based swaps and large trader reporting

15 USC § 78j–3 - Compensation committees

15 USC § 78j–4 - Recovery of erroneously awarded compensation policy

§ 78k - Trading by members of exchanges, brokers, and dealers

15 USC § 78k–1 - National market system for securities; securities information processors

15 USC § -

15 USC § -

§ 78m - Periodical and other reports

15 USC § 78m–1 - Reporting and recordkeeping for certain security-based swaps

15 USC § 78m–2 - Reporting requirements regarding coal or other mine safety

§ 78n - Proxies

15 USC § 78n–1 - Shareholder approval of executive compensation

15 USC § 78n–2 - Corporate governance

15 U.S.C. § -

15 U.S.C. § -

15 U.S.C. § -

15 U.S.C. § -

15 USC § -

15 USC § -

15 USC § -

15 U.S.C. § -

15 USC § -

15 USC § -

15 USC § -

15 USC § -

15 USC § -

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

15 USC § 78q–1 - National system for clearance and settlement of securities transactions

15 USC § 78q–2 - Automated quotation systems for penny stocks

§ 78r - Liability for misleading statements

§ 78s - Registration, responsibilities, and oversight of self-regulatory organizations

§ 78t - Liability of controlling persons and persons who aid and abet violations

15 USC § 78t–1 - Liability to contemporaneous traders for insider trading

§ 78u - Investigations and actions

15 USC § 78u–1 - Civil penalties for insider trading

15 USC § 78u–2 - Civil remedies in administrative proceedings

15 USC § 78u–3 - Cease-and-desist proceedings

15 USC § 78u–4 - Private securities litigation

15 USC § 78u–5 - Application of safe harbor for forward-looking statements

15 USC § 78u–6 - Securities whistleblower incentives and protection

15 USC § 78u–7 - Implementation and transition provisions for whistleblower protection

§ 78v - Hearings by Commission

§ 78w - Rules, regulations, and orders; annual reports

§ 78x - Public availability of information

§ 78y - Court review of orders and rules

§ 78z - Unlawful representations

§ 78aa - Jurisdiction of offenses and suits

15 USC § 78aa–1 - Special provision relating to statute of limitations on private causes of action

§ 78bb - Effect on existing law

§ 78cc - Validity of contracts

§ 78dd - Foreign securities exchanges

15 USC § 78dd–1 - Prohibited foreign trade practices by issuers

15 USC § 78dd–2 - Prohibited foreign trade practices by domestic concerns

15 USC § 78dd–3 - Prohibited foreign trade practices by persons other than issuers or domestic concerns

§ 78ee - Transaction fees

§ 78ff - Penalties

§ 78gg - Separability

§ 78hh - Effective date

15 USC § 78hh–1 - Effective date of certain sections

§ 78ii - Omitted

§ 78jj - Repealed.

§ 78kk - Authorization of appropriations

15 USC § -

§ 78mm - General exemptive authority

§ 78nn - Tennessee Valley Authority

15 USC § -

§ 78pp - Investor Advisory Committee

§ 78d note - Securities and Exchange Commission

§ 78eee - Protection of customers

§ 79t

15 USC § 80a–8 - Registration of investment companies

15 USC § 80a–20 - Proxies; voting trusts; circular ownership

15 USC § 80a–24 - Registration of securities under Securities Act of 1933

15 USC § 80a–29 - Reports and financial statements of investment companies and affiliated persons

15 USC § 80a–37 - Rules, regulations, and orders

15 USC § 80a–41 - Enforcement of subchapter

15 USC § 80a–44 - Disclosure of information filed with Commission; copies

15 USC § 80b–3 - Registration of investment advisers

15 USC § 80b–4 - Reports by investment advisers

15 USC § 80b–5 - Investment advisory contracts

15 USC § 80b–9 - Enforcement of subchapter

15 USC § 80b–10 - Disclosure of information by Commission

15 USC § 80b–11 - Rules, regulations, and orders of Commission

§ 7202 - Commission rules and enforcement

U.S.C. : Title 29 - LABOR

§ 794 - Nondiscrimination under Federal grants and programs

USC : Title 44 - PUBLIC PRINTING AND DOCUMENTS

§ 3506 - Federal agency responsibilities

§ 3507 - Public information collection activities; submission to Director; approval and delegation

Statutes at Large

48 Stat. 85

48 Stat. 901

49 Stat. 833

53 Stat. 1173

54 Stat. 841

54 Stat. 855

Presidential Documents

Executive Order ... 11222

Executive Order ... 12356

Executive Order ... 12600

Reorganization ... 1950 Plan No. 10

Title 17 published on 2012-04-01

The following are ALL rules, proposed rules, and notices (chronologically) published in the Federal Register relating to 17 CFR 200 after this date.

  • 2013-01-23; vol. 78 # 15 - Wednesday, January 23, 2013
    1. 78 FR 4766 - Authority Citation Correction
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule; technical amendment.
      Effective Date: January 23, 2013.
      17 CFR Part 200