17 CFR Part 201 - RULES OF PRACTICE

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 - GOVERNMENT ORGANIZATION AND EMPLOYEES
U.S. Code: Title 15 - COMMERCE AND TRADE

§ 77f - Registration of securities

§ 77g - Information required in registration statement

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

§ 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

§ 78d-1 - Delegation of functions by Commission

15 U.S. Code § 78d–2 - Transfer of functions with respect to assignment of personnel to chairman

§ 78l - Registration requirements for securities

§ 78m - Periodical and other reports

§ 78n - Proxies

§ 78o - Registration and regulation of brokers and dealers

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

§ 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

§ 78v - Hearings by Commission

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

§ 78x - Public availability of information

§ 79c

§ 79z-5a

15 U.S. Code § 80a–8 - Registration of investment companies

15 U.S. Code § 80a–9 - Ineligibility of certain affiliated persons and underwriters

15 U.S. Code § 80a–37 - Rules, regulations, and orders

15 U.S. Code § 80a–38 - Procedure for issuance of rules and regulations

15 U.S. Code § 80a–39 - Procedure for issuance of orders

§ 80a-40 - Hearings by Commission

15 U.S. Code § 80a–41 - Enforcement of subchapter

15 U.S. Code § 80a–44 - Disclosure of information filed with Commission; copies

§ 80b-3 - Registration of investment advisers

15 U.S. Code § 80b–9 - Enforcement of subchapter

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

15 U.S. Code § 80b–12 - Hearings

§ 7202 - Commission rules and enforcement

§ 7215 - Investigations and disciplinary proceedings

§ 7217 - Commission oversight of the Board

§ 7246 - Fair funds for investors

U.S. Code: Title 28 - JUDICIARY AND JUDICIAL PROCEDURE
Statutes at Large