17 CFR 200.11 - Headquarters Office

Status message

There are 5 Updates appearing in the Federal Register for 17 CFR 200. View below or at eCFR (GPOAccess)
§ 200.11 Headquarters Office—Regional Office relationships.
(a)
(1) Division and Office Heads in the Headquarters Office (100 F Street, NE., Washington, DC 20549) have Commission-wide responsibility to the Commission for the overall development, policy and technical guidance, and policy direction of the operating programs under their jurisdiction.
(2) Each Regional Director is responsible for the direction and supervision of his or her work force and for the execution of all programs in his or her office's region as shown in paragraph (b) of this section, in accordance with established policy, and reports, on enforcement matters, to the Deputy Director of the Division of Enforcement who is responsible for Regional Office enforcement matters and, on examination matters, to the Director of the Office of Compliance Inspections and Examinations. The Director of Regional Office Operations interacts with the Regional Directors and their staff on operational and administrative/management issues and serves as their representative in the Commission's Washington Headquarters in those areas.
(b) Regional Directors of the Commission.
Atlanta Regional Office: Alabama, Georgia, North Carolina, South Carolina, and Tennessee—Regional Director, 3475 Lenox Road, NE., Suite 1000, Atlanta, GA 30326-1232.
Boston Regional Office: Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont—Regional Director, 33 Arch Street, 23rd Floor, Boston, MA 02110-1424.
Chicago Regional Office: Kentucky, Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, Ohio, and Wisconsin—Regional Director, 175 West Jackson Boulevard, Suite 900, Chicago, IL 60604-2908.
Denver Regional Office: Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, and Wyoming—Regional Director, 1801 California Street, Suite 1500, Denver, CO 80202-2656.
Fort Worth Regional Office: Arkansas, Kansas (for certain purposes), Oklahoma, and Texas—Regional Director, Burnett Plaza, Suite 1900, 801 Cherry Street, Unit #18, Fort Worth, TX 76102-6882.
Los Angeles Regional Office: Arizona, Southern California (zip codes 93599 and below, except 93200-93299), Guam, Hawaii, and Nevada—Regional Director, 5670 Wilshire Boulevard, 11th Floor, Los Angeles, CA 90036-3648.
Miami Regional Office: Florida, Louisiana, Mississippi, Puerto Rico, and the Virgin Islands—Regional Director, 801 Brickell Avenue, Suite 1800, Miami, FL 33131-4901.
New York Regional Office: New York and New Jersey—Regional Director, 3 World Financial Center, Suite 400, New York, NY 10281-1022.
Philadelphia Regional Office: Delaware, District of Columbia, Maryland, Pennsylvania, Virginia, and West Virginia—Regional Director, 701 Market Street, Suite 2000, Philadelphia, PA 19106-1532.
Salt Lake City Regional Office: Utah—Regional Director, 15 W. South Temple Street, Suite 1800, Salt Lake City, UT 84101-1573.
San Francisco Regional Office: Alaska, Northern California (zip codes 93600 and up, plus 93200-93299), Idaho, Montana, Oregon, and Washington—Regional Director, 44 Montgomery Street, Suite 2600, San Francisco, CA 94104-4716.
(c) The geographic allocation set forth in paragraph (b) of this section determines where registered brokers, dealers, transfer agents, clearing agents, registered securities associations, investment advisers, and others as designated in this chapter must file reports required to be filed in regional offices.
[73 FR 32223, June 5, 2008]

Title 17 published on 2013-04-01

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.

  • 2014-01-10; vol. 79 # 7 - Friday, January 10, 2014
    1. 79 FR 1734 - Responsibilities of the General Counsel
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: January 10, 2014.
      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 5a

§ App

U.S. Code: Title 5 - GOVERNMENT ORGANIZATION AND EMPLOYEES
U.S. Code: Title 11 - BANKRUPTCY
U.S. Code: 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 U.S. Code § -

§ 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 U.S. Code § 78c–1 - Swap agreements

15 U.S. Code § 78c–2 - Securities-related derivatives

15 U.S. Code § 78c–3 - Clearing for security-based swaps

15 U.S. Code § 78c–4 - Security-based swap execution facilities

15 U.S. Code § 78c–5 - Segregation of assets held as collateral in security-based swap transactions

§ 78d - Securities and Exchange Commission

15 U.S. Code § 78d–1 - Delegation of functions by Commission

15 U.S. Code § 78d–2 - Transfer of functions with respect to assignment of personnel to chairman

15 U.S. Code § 78d–3 - Appearance and practice before the Commission

15 U.S. Code § 78d–4 - Additional duties of Inspector General

15 U.S. Code § 78d–5 - Deadline for completing enforcement investigations and compliance examinations and inspections

15 U.S. Code § 78d–6 - Report and certification of internal supervisory controls

15 U.S. Code § 78d–7 - Triennial report on personnel management

15 U.S. Code § 78d–8 - Annual financial controls audit

15 U.S. Code § 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 U.S. Code § 78j–1 - Audit requirements

15 U.S. Code § 78j–2 - Position limits and position accountability for security-based swaps and large trader reporting

15 U.S. Code § 78j–3 - Compensation committees

15 U.S. Code § 78j–4 - Recovery of erroneously awarded compensation policy

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

15 U.S. Code § 78k–1 - National market system for securities; securities information processors

15 U.S. Code § -

15 U.S. Code § -

§ 78m - Periodical and other reports

15 U.S. Code § 78m–1 - Reporting and recordkeeping for certain security-based swaps

15 U.S. Code § 78m–2 - Reporting requirements regarding coal or other mine safety

§ 78n - Proxies

15 U.S. Code § 78n–1 - Shareholder approval of executive compensation

15 U.S. Code § 78n–2 - Corporate governance

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

15 U.S. Code § -

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

15 U.S. Code § 78q–1 - National system for clearance and settlement of securities transactions

15 U.S. Code § 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 U.S. Code § 78t–1 - Liability to contemporaneous traders for insider trading

§ 78u - Investigations and actions

15 U.S. Code § 78u–1 - Civil penalties for insider trading

15 U.S. Code § 78u–2 - Civil remedies in administrative proceedings

15 U.S. Code § 78u–3 - Cease-and-desist proceedings

15 U.S. Code § 78u–4 - Private securities litigation

15 U.S. Code § 78u–5 - Application of safe harbor for forward-looking statements

15 U.S. Code § 78u–6 - Securities whistleblower incentives and protection

15 U.S. Code § 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 U.S. Code § 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 U.S. Code § 78dd–1 - Prohibited foreign trade practices by issuers

15 U.S. Code § 78dd–2 - Prohibited foreign trade practices by domestic concerns

15 U.S. Code § 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 U.S. Code § 78hh–1 - Effective date of certain sections

§ 78ii - Omitted

§ 78jj - Repealed.

§ 78kk - Authorization of appropriations

15 U.S. Code § -

§ 78mm - General exemptive authority

§ 78nn - Tennessee Valley Authority

15 U.S. Code § -

§ 78pp - Investor Advisory Committee

§ 78d note - Securities and Exchange Commission

§ 78eee - Protection of customers

§ 79t

15 U.S. Code § 80a–8 - Registration of investment companies

15 U.S. Code § 80a–20 - Proxies; voting trusts; circular ownership

15 U.S. Code § 80a–24 - Registration of securities under Securities Act of 1933

15 U.S. Code § 80a–29 - Reports and financial statements of investment companies and affiliated persons

15 U.S. Code § 80a–37 - Rules, regulations, and orders

15 U.S. Code § 80a–41 - Enforcement of subchapter

15 U.S. Code § 80a–44 - Disclosure of information filed with Commission; copies

15 U.S. Code § 80b–3 - Registration of investment advisers

15 U.S. Code § 80b–4 - Reports by investment advisers

15 U.S. Code § 80b–5 - Investment advisory contracts

15 U.S. Code § 80b–9 - Enforcement of subchapter

15 U.S. Code § 80b–10 - Disclosure of information by Commission

15 U.S. Code § 80b–11 - Rules, regulations, and orders of Commission

§ 7202 - Commission rules and enforcement

U.S. Code: Title 29 - LABOR
U.S. Code: Title 44 - PUBLIC PRINTING AND DOCUMENTS
Statutes at Large
Presidential Documents

Executive Order ... 11222

Executive Order ... 12356

Executive Order ... 12600

Reorganization ... 1950 Plan No. 10

Title 17 published on 2013-04-01

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

  • 2014-02-28; vol. 79 # 40 - Friday, February 28, 2014
    1. 79 FR 11361 - Re-Opening of Comment Period for Asset-Backed Securities Release
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Re-opening of comment period.
      Comments should be received on or before March 28, 2014.
      17 CFR Parts 200, 229, 230, 232, 239, 240, 243, and 249