Proceeding
(9) Proceeding means any agency process initiated: (i) By an order instituting proceedings; or (ii) By the filing, pursuant to 201.410, of a petition for review of an initial decision by a hearing officer; or (iii) By the filing, pursuant to 201.420, of an application for review of a self-regulatory organization determination; or (iv) By the filing, pursuant to 201.430, of a notice of intention to file a petition for review of a determination made pursuant to delegated authority; or (v) By the filing, pursuant to 201.440, of an application for review of a determination by the Public Company Accounting Oversight Board; or (vi) By the filing, pursuant to 242.601 of this chapter, of an application for review of an action or failure to act in connection with the implementation or operation of any effective transaction reporting plan; or (vii) By the filing, pursuant to 242.608 of this chapter, of an application for review of an action taken or failure to act in connection with the implementation or operation of any effective national market system plan; or (viii) By the filing, pursuant to Section 11A(b)(5) of the Securities Exchange Act of 1934, of an application for review of a determination of a registered securities information processor; (ix) By the filing, pursuant to 201.442, of an application for review of a determination of a security-based swap execution facility; (10) Secretary means the Secretary of the Commission; (11) Temporary sanction means a temporary cease-and-desist order or a temporary suspension of the registration of a broker, dealer, municipal securities dealer, government securities broker, government securities dealer, or transfer agent pending final determination whether the registration shall be revoked; and (12) Board means the Public Company Accounting Oversight Board.