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CFR › Title 17 › Chapter II › Part 201

17 CFR Part 201 - RULES OF PRACTICE

There is 1 rule appearing in the Federal Register for 17 CFR 201. Select the tab below to view, or View eCFR (GPOAccess)

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.

  • 2013-03-05; vol. 78 # 43 - Tuesday, March 5, 2013
    1. 78 FR 14179 - Adjustments to Civil Monetary Penalty Amounts
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: March 5, 2013.
      17 CFR Part 201

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

§ 504 - Costs and fees of parties

USC : Title 15 - COMMERCE AND TRADE

§ 77f - Registration of securities

§ 77g - Information required in registration statement

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

15 USC § 77h–1 - Cease-and-desist proceedings

§ 77j - Information required in prospectus

§ 77s - Special powers of Commission

§ 77u - Hearings by Commission

§ 77sss - Rules, regulations, and orders

§ 77ttt - Hearings by Commission

§ 78c - Definitions and application

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 § -

§ 78m - Periodical and other reports

§ 78n - Proxies

15 U.S.C. § -

15 U.S.C. § -

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

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

§ 78v - Hearings by Commission

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

§ 78x - Public availability of information

§ 79c

§ 79z-5a

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

15 USC § 80a–9 - Ineligibility of certain affiliated persons and underwriters

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

15 USC § 80a–38 - Procedure for issuance of rules and regulations

15 USC § 80a–39 - Procedure for issuance of orders

15 USC § 80a–40 - Hearings by Commission

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–9 - Enforcement of subchapter

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

15 USC § 80b–12 - Hearings

§ 7202 - Commission rules and enforcement

§ 7215 - Investigations and disciplinary proceedings

§ 7217 - Commission oversight of the Board

§ 7246 - Fair funds for investors

USC : Title 21 - FOOD AND DRUGS

§ 321 - Definitions; generally

§ 374 - Inspection

USC : Title 28 - JUDICIARY AND JUDICIAL PROCEDURE

§ 2461 note - Mode of recovery

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 201 after this date.

  • 2013-03-05; vol. 78 # 43 - Tuesday, March 5, 2013
    1. 78 FR 14179 - Adjustments to Civil Monetary Penalty Amounts
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      Effective Date: March 5, 2013.
      17 CFR Part 201