17 CFR Subpart A - Organization and Program Management

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  1. § 200.1 General statement and statutory authority.
  2. § 200.2 Statutory functions.
  3. General Organization (§§ 200.10 - 200.30-18)
    1. § 200.10 The Commission.
    2. § 200.11 Headquarters Office - Regional Office relationships.
    3. § 200.12 Functional responsibilities.
    4. § 200.13 Chief Operating Officer.
    5. § 200.13a The Secretary of the Commission.
    6. § 200.13b Director of the Office of Public Affairs, Policy Evaluation, and Research.
    7. § 200.14 Office of Administrative Law Judges.
    8. § 200.15 Office of International Affairs.
    9. § 200.16 Executive Assistant to the Chairman.
    10. § 200.16a Inspector General.
    11. § 200.17 Chief Management Analyst.
    12. § 200.18 Director of Division of Corporation Finance.
    13. § 200.19a Director of the Division of Trading and Markets.
    14. § 200.19b Director of the Division of Enforcement.
    15. § 200.19c Director of the Office of Compliance Inspections and Examinations.
    16. § 200.19d Director of the Office of Municipal Securities.
    17. § 200.20b Director of Division of Investment Management.
    18. § 200.21 The General Counsel.
    19. § 200.21a The Ethics Counsel.
    20. § 200.22 The Chief Accountant.
    21. § 200.23a Office of Economic Analysis.
    22. § 200.23b [Reserved]
    23. § 200.24 Office of Financial Management.
    24. § 200.24a Director of the Office of Consumer Affairs.
    25. §§ 200.25-200.26 [Reserved]
    26. § 200.26a Office of Information Technology.
    27. § 200.27 The Regional Directors.
    28. § 200.28 Issuance of instructions.
    29. § 200.29 Rules.
    30. § 200.30-1 Delegation of authority to Director of Division of Corporation Finance.
    31. § 200.30-3 Delegation of authority to Director of Division of Trading and Markets.
    32. § 200.30-3a Delegation of authority to Director of the Office of Municipal Securities.
    33. § 200.30-4 Delegation of authority to Director of Division of Enforcement.
    34. § 200.30-5 Delegation of authority to Director of Division of Investment Management.
    35. § 200.30-6 Delegation of authority to Regional Directors.
    36. § 200.30-7 Delegation of authority to Secretary of the Commission.
    37. § 200.30-8 [Reserved]
    38. § 200.30-9 Delegation of authority to hearing officers.
    39. § 200.30-10 Delegation of authority to Chief Administrative Law Judge.
    40. § 200.30-11 Delegation of authority to the Chief Accountant.
    41. § 200.30-12 [Reserved]
    42. § 200.30-13 Delegation of authority to Chief Financial Officer.
    43. § 200.30-14 Delegation of authority to the General Counsel.
    44. § 200.30-15 Delegation of authority to Chief Operating Officer.
    45. § 200.30-16 Delegation of authority to Executive Assistant to the Chairman.
    46. § 200.30-17 Delegation of authority to Director of Office of International Affairs.
    47. § 200.30-18 Delegation of authority to Director of the Office of Compliance Inspections and Examinations.
Authority:
15 U.S.C. 77c, 77o, 77s, 77z-3, 77sss, 78d, 78d-1, 78d-2, 78o-4, 78w, 78ll(d), 78mm, 80a-37, 80b-11, 7202, and 7211 et seq., unless otherwise noted.

Section 200.16a is also issued under Sec. 989B of Pub. L. 111-203 (2010), 124 Stat. 1376; and 5 U.S.C. App. (Inspector General Act of 1978) Sec. 8G.

Sections 200.27 and 200.30-6 are also issued under 15 U.S.C. 77e, 77f, 77g, 77h, 77j, 77q, 77u, 78e, 78g, 78h, 78i, 78k, 78m, 78o, 78o-4, 78q, 78q-1, 78t-1, 78u, 77hhh, 77uuu, 80a-41, 80b-5, and 80b-9.

Section 200.30-1 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 78c(b) 78l, 78m, 78n, 78o(d).

Section 200.30-3 is also issued under 15 U.S.C. 78b, 78d, 78f, 78k-1, 78q, 78s, and 78eee.

Section 200.30-5 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 78c(b), 78l, 78m, 78n, 78o(d), 80a-8, 80a-20, 80a-24, 80a-29, 80b-3, 80b-4.

Section 240.15l-1 is also issued under Pub. L. 111-203, sec. 913, 124 Stat. 1376, 1827 (2010).

Source:
27 FR 12712, Dec. 22, 1962, unless otherwise noted.