17 CFR 200.21 - The General Counsel.

§ 200.21 The General Counsel.

(a) The General Counsel is the chief legal officer of the Commission. He or she is responsible for the representation of the Commission in judicial proceedings in which it is involved as a party or as amicus curiae, for directing and supervising all civil litigation involving the Commission in the United States District Courts, except for law enforcement actions filed on behalf of the Commission, for directing and supervising the Commission's responsibilities under the Bankruptcy Code and all related litigation, and for representing the Commission in all cases in appellate courts. The General Counsel is responsible for the review of cases which the Division of Enforcement recommends be referred to the Department of Justice with a recommendation for criminal prosecution. In addition, he or she is responsible for advising the Commission at its request or at the request of any division director or office head, or on his or her own motion, with respect to interpretations involving questions of law; for the conduct of administrative proceedings relating to the disqualification of lawyers from practice before the Commission; for conducting preliminary investigations, as described in 17 CFR 202.5(a), into potential violations of 17 CFR 201.102(e) by attorneys; for the preparation of the Commission comments to the Congress on pending legislation; and for the drafting, in conjunction with appropriate divisions and offices, of legislative proposals to be sponsored by the Commission. The General Counsel is responsible for providing advice to Commission attorneys on professional responsibility issues relating to their official duties. The General Counsel is further responsible for investigating allegations of professional misconduct by Commission staff and, where appropriate, making referrals to state professional boards or societies. The General Counsel is also responsible for the review and clearance of the form and content of articles, treatises, and prepared speeches and addresses by members of the staff relating to the Commission or to the statutes and rules administered by the Commission. The General Counsel also is responsible for coordinating and reviewing the interpretive positions of the various divisions and offices. In addition, he or she is responsible for appropriate disposition of all Freedom of Information Act and Privacy Act appeals pursuant to the authority delegated in § 200.30-14 of this chapter, and is the Commission's advisor with respect to legal problems arising under the Freedom of Information Act, the Privacy Act, the Federal Reports Act, the Federal Advisory Committee Act, the Civil Service laws and regulations, the statutes and rules applicable to the Commission's procurement, contracting, fiscal and related administrative activities, and other statutes and regulations of a similar nature applicable to a number of Government agencies.

(b) The General Counsel is also responsible for assisting members of the Commission in the preparation of the opinions of the Commission, and to the Commission for the preparation of opinions and decisions on motions and certifications of questions and rulings by administrative law judges in the course of administrative law proceedings, except (1) in cases where, pursuant to a waiver by the parties of separation of function requirements, another Division or Office of the Commission's staff undertakes to prepare an opinion or decision, in which cases the General Counsel may assist in such preparation, and (2) with respect to administrative proceedings against lawyers under Rule 102(e) of the Commission's Rules of Practice ( § 201.102(e) of this chapter) or other cases in which the Chairman or the General Counsel has determined that separation of function requirements or other circumstances would make inappropriate the exercise of such functions by the General Counsel. In the cases described in clause (2), the Executive Assistant to the Chairman exercises such functions. The General Counsel deals with general problems arising under the Administrative Procedure Act, including the revision or adoption of rules of practice. The General Counsel is also responsible for the exercise of such review functions with respect to adjudicatory matters as are delegated to him or her by the Commission pursuant to 101 Stat. 1254 ( 15 U.S.C. 78d-1, 78d-2) or as may be otherwise delegated or assigned to him or her.

(c) The General Counsel also is responsible to the Commission for the administration of the Government in the Sunshine Act for publicly certifying, pursuant to § 200.406, that, in his or her opinion, particular Commission meetings may properly be closed to the public. In the absence of the General Counsel, the Solicitor to the Commission shall be deemed the General Counsel for purposes of § 200.406. In the absence of the General Counsel and the Solicitor, the most senior Associate General Counsel available shall be deemed the General Counsel for purposes of § 200.406. In the absence of the General Counsel, the Solicitor, and every Associate General Counsel, the most senior Assistant General Counsel available shall be deemed the General Counsel for purposes of § 200.406. In the absence of the General Counsel, the Solicitor, every Associate General Counsel and every Assistant General Counsel, such attorneys as the General Counsel may designate (in such order of succession as the General Counsel directs) shall exercise the responsibilities imposed by § 200.406.

[ 43 FR 13376, Mar. 30, 1978, as amended at 47 FR 26821, June 22, 1982; 47 FR 37077, Aug. 25, 1982; 49 FR 12685, Mar. 30, 1984; 49 FR 13866, Apr. 9, 1984; 50 FR 12240, Mar. 28, 1985; 54 FR 18100, Apr. 27, 1989; 54 FR 24331, June 7, 1989; 60 FR 14626, Mar. 20, 1995; 69 FR 13174, Mar. 19, 2004; 71 FR 27385, May 11, 2006; 76 FR 60371, 60372, Sept. 29, 2011; 76 FR 71449, Nov. 18, 2011; 79 FR 1735, Jan. 10, 2014]

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
U.S. Code: Title 5 - APPENDIX
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

§ 77o - Liability of controlling persons

§ 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

§ 78c-1

§ 78c-2

§ 78c-3

§ 78c-4

§ 78c-5

§ 78d - Securities and Exchange Commission

§ 78d-1

§ 78d-2

§ 78d-3

§ 78d-4

§ 78d-5

§ 78d-6

§ 78d-7

§ 78d-8

§ 78d-9

§ 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

§ 78j-1

§ 78j-2

§ 78j-3

§ 78j-4

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

§ 78k-1

§ 78l - Registration requirements for securities

§ 78l-1

§ 78m - Periodical and other reports

§ 78m-1

§ 78m-2

§ 78n - Proxies

§ 78n-1

§ 78n-2

§ 78o - Registration and regulation of brokers and dealers

§ 78o-1

§ 78o-2

§ 78o-3

§ 78o-4

§ 78o-4a

§ 78o-5

§ 78o-6

§ 78o-7

§ 78o-8

§ 78o-9

§ 78o-10

§ 78o-11

§ 78p - Directors, officers, and principal stockholders

§ 78q - Records and reports

§ 78q-1

§ 78q-2

§ 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

§ 78t-1

§ 78u - Investigations and actions

§ 78u-1

§ 78u-2

§ 78u-3

§ 78u-4

§ 78u-5

§ 78u-6

§ 78u-7

§ 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

§ 78aa-1

§ 78bb - Effect on existing law

§ 78cc - Validity of contracts

§ 78dd - Foreign securities exchanges

§ 78dd-1

§ 78dd-2

§ 78dd-3

§ 78ee - Transaction fees

§ 78ff - Penalties

§ 78gg - Separability

§ 78hh - Effective date

§ 78hh-1

§ 78ii - Omitted

§ 78jj - Repealed. Pub. L. 100–181, title III, § 330, Dec. 4, 1987, 101 Stat. 1259

§ 78kk - Authorization of appropriations

§ 78ll - Requirements for the EDGAR system

§ 78mm - General exemptive authority

§ 78nn - Tennessee Valley Authority

§ 78oo - Federal National Mortgage Association, Federal Home Loan Mortgage Corporation, Federal Home Loan Banks

§ 78pp - Investor Advisory Committee

§ 78d note - Securities and Exchange Commission

§ 78eee - Protection of customers

§ 80a-8

§ 80a-20

§ 80a-24

§ 80a-29

§ 80a-37

§ 80a-41

§ 80a-44

§ 80b-3

§ 80b-4

§ 80b-5

§ 80b-9

§ 80b-10

§ 80b-11

§ 7202 - Commission rules and enforcement

§ 7211 - Establishment; administrative provisions

§ 7212 - Registration with the Board

§ 7213 - Auditing, quality control, and independence standards and rules

§ 7214 - Inspections of registered public accounting firms

§ 7215 - Investigations and disciplinary proceedings

§ 7216 - Foreign public accounting firms

§ 7217 - Commission oversight of the Board

§ 7218 - Accounting standards

§ 7219 - Funding

§ 7220 - Definitions

U.S. Code: Title 29 - LABOR
Statutes at Large
Presidential Documents

Executive Order ... 11222

Executive Order ... 12356

Executive Order ... 12600

Reorganization ... 1950 Plan No. 10

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