17 CFR 200.30-4 - Delegation of authority to Director of Division of Enforcement.

§ 200.30-4 Delegation of authority to Director of Division of Enforcement.

Pursuant to the provisions of Pub. L. No. 100-181, 101 Stat. 1254, 1255 ( 15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Division of Enforcement to be performed by him or under his direction by such other person or persons as may be designated from time to time by the Chairman of the Commission.

(a)

(1) To designate officers empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 19(c) of the Securities Act of 1933 ( 15 U.S.C. 77s(c)), section 21(b) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u(b)), section 42(b) of the Investment Company Act of 1940 ( 15 U.S.C. 80a-41(b)) and section 209(b) of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b-9(b)).

(2) In nonpublic investigative proceedings, to grant requests of persons to procure copies of the transcript of their testimony under § 203.6 of this chapter.

(3) To terminate and close all investigations authorized by the Commission pursuant to section 20 of the Securities Act of 1933 ( 15 U.S.C. 77t), section 21 of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u), section 42 of the Investment Company Act of 1940 ( 15 U.S.C. 80a-41) and section 209 of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b-9).

(4) To terminate the authority to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 19(c) of the Securities Act of 1933 ( 15 U.S.C. 77s(c)), section 21(b) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u(b)), section 42(b) of the Investment Company Act of 1940 ( 15 U.S.C. 80a-41(b)) and section 209(b) of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b-9(b)).

(5) To grant or deny applications made pursuant to Rule 193 of the Commission's Rules of Practice, § 201.193 of this chapter, provided, that, in the event of a denial, the applicant shall be notified that such a denial may be appealed to the Commisson for review.

(6) To notify the Securities Investor Protection Corporation (“SIPC”) of facts concerning the activities and the operational and financial condition of any registered broker or dealer which is or appears to be a member of SIPC and which is in or approaching financial difficulty within the meaning of section 5 of the Securities Investor Protection Act of 1970, as amended, 15 U.S.C. 78aaaet seq.

(7) To administer the provisions of § 240.24c-1 of this chapter; provided that access to nonpublic information as defined in such section shall be provided only with the concurrence of the head of the Commission division or office responsible for such information or the files containing such information.

(8) Pursuant to Rule 204-2(j)(3)(ii) ( § 275.204-2(j)(3)(ii) of this chapter) under the Investment Advisers Act of 1940 ( 15 U.S.C. 80b-1et seq.), to make written demands upon non-resident investment advisers subject to the provisions of such rule to furnish to the Commission true, correct, complete and current copies of any or all books and records which such non-resident investment advisers are required to make, keep current or preserve pursuant to any provision of any rule or regulation of the Commission adopted under the Investment Advisers Act of 1940, or any part of such books and records which may be specified in any such demand.

(9) To administer the provisions of Section 24(d) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78x(d)).

(10) To institute subpoena enforcement proceedings in federal court to seek an order compelling the production of documents or an individual's appearance for testimony pursuant to subpoenas issued pursuant to paragraph (a)(1) of this section in connection with investigations pursuant to section 19(c) of the Securities Act of 1933 ( 15 U.S.C. 77s(c)), section 21(b) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u(b)), section 42(b) of the Investment Company Act of 1940 ( 15 U.S.C. 80a-41(b)) and section 209(b) of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b-9(b)).

(11) To authorize staff to appear in federal bankruptcy court to preserve Commission claims in connection with investigations pursuant to section 19(c) of the Securities Act of 1933 ( 15 U.S.C. 77s(c)), section 21(b) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u(b)), section 42(b) of the Investment Company Act of 1940 ( 15 U.S.C. 80a-41(b)) and section 209(b) of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b-9(b)).

(12) Pursuant to Section 36 of the Securities Exchange Act of 1934 ( 15 U.S.C. 78mm) to review and, either unconditionally or on specified terms and conditions, grant, or deny exemptions from rule 17a-25 of the Act (§ 240.17a-25 of this chapter), provided that the Division of Trading and Markets is notified of any such granting or denial of an exemption.

(13) To order the making of private investigations pursuant to section 19(c) of the Securities Act of 1933 ( 15 U.S.C. 77s(c)), section 21(b) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u(b)), section 42(b) of the Investment Company Act of 1940 ( 15 U.S.C. 80a-41(b) and section 209(b) of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b-9(b)).

(14) To submit witness immunity requests to the U.S. Attorney General pursuant to 18 U.S.C. 6002- 6004, and, upon approval by the U.S. Attorney General, to seek or, for the period from June 17, 2011 through December 19, 2012, to issue orders compelling an individual to give testimony or provide other information pursuant to subpoenas that may be necessary to the public interest in connection with investigations and related enforcement actions pursuant to section 22(b) of the Securities Act of 1933 ( 15 U.S.C. 77v(b)), section 21(c) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u(c)), section 42(c) of the Investment Company Act of 1940 ( 15 U.S.C. 80a-41(c)) and section 209(c) of the Investment Advisers Act of 1940 ( 15 U.S.C. 80b-9(c)).

(15) With respect to debts arising from actions to enforce the federal securities laws, to terminate collection activity or discharge debts, to accept offers to compromise debts when the principal amount of the debt is $5 million or less, to reject offers to compromise debts, and to accept or reject offers to enter into payment plans.

(16) To disclose information, in accordance with Section 21F(h)(2) of the Securities Exchange Act of 1934 ( 15 U.S.C. 78u-6(h)(2)), that would reveal, or could reasonably be expected to reveal, the identity of a whistleblower.

(17) With respect to disgorgement and Fair Fund plans established in administrative proceedings instituted by the Commission pursuant to the federal securities laws, to appoint a person as a plan administrator, if that person is included in the Commission's approved pool of administrators, and, for an administrator appointed pursuant to this delegation, to set the amount of or waive for good cause shown, the administrator's bond required by § 201.1105(c) of this chapter.

(b) Notwithstanding anything in the foregoing, in any case in which the Director of the Division of Enforcement believes it appropriate, he may submit the matter to the Commission.

[ 37 FR 16796, Aug. 19, 1972]
Editorial Note:
For Federal Register citations affecting § 200.30-4, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and at www.fdsys.gov.

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
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

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

§ 78l - Registration requirements for securities

15 U.S. Code § 78l–1 - Applications for unlisted trading privileges deemed filed under section 78l of this title

§ 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

§ 78o - Registration and regulation of brokers and dealers

15 U.S. Code § 78o–1 - Brokers deemed to be registered

15 U.S. Code § 78o–2 - Liabilities arising prior to amendment unaffected

15 U.S. Code § 78o–3 - Registered securities associations

15 U.S. Code § 78o–4 - Municipal securities

15 U.S. Code § 78o–4a - Commission Office of Municipal Securities

15 U.S. Code § 78o–5 - Government securities brokers and dealers

15 U.S. Code § 78o–6 - Securities analysts and research reports

15 U.S. Code § 78o–7 - Registration of nationally recognized statistical rating organizations

15 U.S. Code § 78o–8 - Universal ratings symbols

15 U.S. Code § 78o–9 - Study and rulemaking on assigned credit ratings

15 U.S. Code § 78o–10 - Registration and regulation of security-based swap dealers and major security-based swap participants

15 U.S. Code § 78o–11 - Credit risk retention

§ 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. 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

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

§ 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 16-Dec-2017 03:45

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

  • 2018-01-03; vol. 83 # 2 - Wednesday, January 3, 2018
    1. 83 FR 291 - Freedom of Information Act Regulations
      GPO FDSys XML | Text
      SECURITIES AND EXCHANGE COMMISSION
      Proposed rule.
      Comments should be received by February 2, 2018.
      17 CFR Part 200
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