17 CFR Subpart D - Rules of Practice

  1. General Rules (§§ 201.100 - 201.194)
    1. § 201.100 Scope of the rules of practice.
    2. § 201.101 Definitions.
    3. § 201.102 Appearance and practice before the Commission.
    4. § 201.103 Construction of rules.
    5. § 201.104 Business hours.
    6. § 201.110 Presiding officer.
    7. § 201.111 Hearing officer: Authority.
    8. § 201.112 Hearing officer: Disqualification and withdrawal.
    9. § 201.120 Ex parte communications.
    10. § 201.121 Separation of functions.
    11. § 201.140 Commission orders and decisions: Signature and availability.
    12. § 201.141 Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
    13. § 201.150 Service of papers by parties.
    14. § 201.151 Filing of papers with the Commission: Procedure.
    15. § 201.152 Filing of papers: Form.
    16. § 201.153 Filing of papers: Signature requirement and effect.
    17. § 201.154 Motions.
    18. § 201.155 Default; motion to set aside default.
    19. § 201.160 Time computation.
    20. § 201.161 Extensions of time, postponements and adjournments.
    21. § 201.180 Sanctions.
    22. § 201.190 Confidential treatment of information in certain filings.
    23. § 201.191 Adjudications not required to be determined on the record after notice and opportunity for hearing.
    24. § 201.192 Rulemaking: Issuance, amendment and repeal of rules of general application.
    25. § 201.193 Applications by barred individuals for consent to associate.
    26. § 201.194 Applications by security-based swap dealers or major security-based swap participants for statutorily disqualified associated persons to effect or be involved in effecting security-based swaps.
  2. Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings (§ 201.900)
    1. § 201.900 Informal procedures and supplementary information concerning adjudicatory proceedings.
Authority:
15 U.S.C. 77f, 77g, 77h, 77h-1, 77j, 77s, 77u, 77sss, 77ttt, 78(c)(b), 78d-1, 78d-2, 78l, 78m, 78n, 78o(d), 78o-3, 78o-10(b)(6), 78s, 78u-2, 78u-3, 78v, 78w, 80a-8, 80a-9, 80a-37, 80a-38, 80a-39, 80a-40, 80a-41, 80a-44, 80b-3, 80b-9, 80b-11, 80b-12, 7202, 7215, and 7217.
Source:
60 FR 32796, June 23, 1995, unless otherwise noted.