17 CFR 200.30-10 - Delegation of authority to Chief Administrative Law Judge.

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§ 200.30-10 Delegation of authority to Chief Administrative Law Judge.

Pursuant to the provisions of Pub. L. 87-592, 76 Stat. 394 (15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Chief Administrative Law Judge or to such administrative law judge or administrative law judges as may be designated by the Chief Administrative Law Judge in his absence, or as otherwise designated by the Chairman of the Commission in the absence of the Chief Administrative Law Judge:

(a) With respect to proceedings conducted before an administrative law judge, pursuant to the Securities Act of 1933, 15 U.S.C. 77a et seq., the Securities Exchange Act of 1934, 15 U.S.C. 78a et seq., the Trust Indenture Act of 1939, 15 U.S.C. 77aaa et seq., the Investment Company Act of 1940, 15 U.S.C. 80a-1 et seq., the Investment Advisers Act of 1940, 15 U.S.C. 80b-1 et seq., the Securities Investor Protection Act of 1970, 15 U.S.C. 78aaa et seq., and the provisions of Rule 102(e) of the Commission's Rules of Practice, § 201.102(e) of this chapter:

(1) After a proceeding has been authorized, to fix the time and place for hearing pursuant to Rule 200 of the Commission's Rules of Practice, § 201.200 of this chapter;

(2) To designate administrative law judges pursuant to Rule 110 of the Commission's Rules of Practice, § 201.110 of this chapter;

(3) To postpone or adjourn hearings or otherwise adjust the date for commencement of hearings pursuant to Rule 161 of the Commission's Rules of Practice, § 201.161 of this chapter, or to advance or cancel such hearings, if necessary;

(4) To grant extensions of time within which to file papers pursuant to Rule 161 of the Commission's Rules of Practice, § 201.161 of this chapter;

(5) To permit the filing of briefs exceeding 14,000 words in length, pursuant to Rule 450(c) of the Commission's Rules of Practice, § 201.450(c) of this chapter;

(6) In the event the designated presiding administrative law judge is unavailable to issue subpenas requiring the attendance and testimony of witnesses and subpenas requiring the production of documentary or other tangible evidence at any designated place of hearing upon request therefor by any party, pursuant to Rule 232 of the Commission's Rules of Practice, 201.232 of this chapter;

(7) Pursuant to sections 15(b)(1)(B), 15B(a)(2)(B), and 19(a)(1)(B) of the Securities Exchange Act of 1934 and section 203(c)(2)(B) of the Investment Advisers Act of 1940 to grant extensions of time for conclusion of proceedings instituted to determine whether applications for registration as a broker or dealer, municipal securities dealer, national securities exchange, registered securities association, or registered clearing agency, or as an investment adviser should be denied;

(8) To grant motions of staff counsel to discontinue administrative proceedings as to a particular respondent who has died or cannot be found, or because of a mistake in the identity of a respondent named in the order for proceedings.

(b) With respect to proceedings under the Equal Access to Justice Act, 5 U.S.C. 504, to make assignments as provided in § 201.37(b) of this chapter, respecting applications made pursuant to that Act.

(c) Notwithstanding anything in the foregoing, in any case in which the Chief Administrative Law Judge believes it appropriate he or she may submit the matter to the Commission.

[37 FR 23827, Nov. 9, 1972, as amended at 41 FR 21183, May 24, 1976; 43 FR 13378, Mar. 30, 1978; 54 FR 53051, Dec. 27, 1989; 60 FR 32794, June 23, 1995; 69 FR 13174, Apr. 19, 2004; 70 FR 72569, Dec. 5, 2005; 71 FR 71037, Dec. 8, 2006]

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 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

§ 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
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 2015-04-01

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

  • 2015-11-16; vol. 80 # 220 - Monday, November 16, 2015
    1. 80 FR 71388 - Crowdfunding
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Final rule.
      The final rules and forms are effective May 16, 2016, except that instruction 3 adding part 227 and instruction 15 amending Form ID are effective January 29, 2016.
      17 CFR Parts 200, 227, 232, 239, 240, 249, 269, and 274