CFR

SUBPART D—Rules of Practice (§201.100 to §201.900)

• 201.100—Scope of the rules of practice.
• 201.101—Definitions.
• 201.102—Appearance and practice before the Commission.
• 201.103—Construction of rules.
• 201.104—Business hours.
• 201.110—Presiding officer.
• 201.111—Hearing officer: Authority.
• 201.112—Hearing officer: Disqualification and withdrawal.
• 201.120—Ex parte communications.
• 201.121—Separation of functions.
• 201.140—Commission orders and decisions: Signature and availability.
• 201.141—Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
• 201.150—Service of papers by parties.
• 201.151—Filing of papers with the Commission: Procedure.
• 201.152—Filing of papers: Form.
• 201.153—Filing of papers: Signature requirement and effect.
• 201.154—Motions.
• 201.155—Default; motion to set aside default.
• 201.160—Time computation.
• 201.161—Extensions of time, postponements and adjournments.
• 201.180—Sanctions.
• 201.190—Confidential treatment of information in certain filings.
• 201.191—Adjudications not required to be determined on the record after notice and opportunity for hearing.
• 201.192—Rulemaking: Issuance, amendment and repeal of rules of general application.
• 201.193—Applications by barred individuals for consent to associate.
• 201.200—Initiation of proceedings.
• 201.201—Consolidation and severance of proceedings.
• 201.202—Specification of procedures by parties in certain proceedings.
• 201.210—Parties, limited participants and amici curiae.
• 201.220—Answer to allegations.
• 201.221—Prehearing conference.
• 201.222—Prehearing submissions.
• 201.230—Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.
• 201.231—Enforcement and disciplinary proceedings: Production of witness statements.
• 201.232—Subpoenas.
• 201.233—Depositions upon oral examination.
• 201.234—Depositions upon written questions.
• 201.235—Introducing prior sworn statements of witnesses into the record.
• 201.240—Settlement.
• 201.250—Motion for summary disposition.
• 201.300—Hearings.
• 201.301—Hearings to be public.
• 201.302—Record of hearings.
• 201.310—Failure to appear at hearings: Default.
• 201.320—Evidence: Admissibility.
• 201.321—Evidence: Objections and offers of proof.
• 201.322—Evidence: Confidential information, protective orders.
• 201.323—Evidence: Official notice.
• 201.324—Evidence: Stipulations.
• 201.325—Evidence: Presentation under oath or affirmation.
• 201.326—Evidence: Presentation, rebuttal and cross-examination.
• 201.340—Proposed findings, conclusions and supporting briefs.
• 201.350—Record in proceedings before hearing officer; retention of documents; copies.
• 201.351—Transmittal of documents to Secretary; record index; certification.
• 201.360—Initial decision of hearing officer.
• 201.400—Interlocutory review.
• 201.401—Consideration of stays.
• 201.410—Appeal of initial decisions by hearing officers.
• 201.411—Commission consideration of initial decisions by hearing officers.
• 201.420—Appeal of determinations by self-regulatory organizations.
• 201.421—Commission consideration of determinations by self-regulatory organizations.
• 201.430—Appeal of actions made pursuant to delegated authority.
• 201.431—Commission consideration of actions made pursuant to delegated authority.
• 201.440—Appeal of determinations by the Public Company Accounting Oversight Board.
• 201.441—Commission consideration of Board determinations.
• 201.450—Briefs filed with the Commission.
• 201.451—Oral argument before the Commission.
• 201.452—Additional evidence.
• 201.460—Record before the Commission.
• 201.470—Reconsideration.
• 201.490—Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).
• 201.500—Expedited consideration of proceedings.
• 201.510—Temporary cease-and-desist orders: Application process.
• 201.511—Temporary cease-and-desist orders: Notice; procedures for hearing.
• 201.512—Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.
• 201.513—Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.
• 201.514—Temporary cease-and-desist orders: Judicial review; duration.
• 201.520—Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.
• 201.521—Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.
• 201.522—Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.
• 201.524—Suspension of registrations: Duration.
• 201.530—Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.
• 201.531—Initial decision on permanent order: Effect on temporary order.
• 201.540—Appeal and Commission review of initial decision making a temporary order permanent.
• 201.550—Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).
• 201.600—Interest on sums disgorged.
• 201.601—Prompt payment of disgorge-ment, interest and penalties.
• 201.630—Inability to pay disgorge-ment, interest or penalties.
• 201.700—Initiation of proceedings for SRO proposed rule changes.
• 201.701—Issuance of order.
• 201.900—Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings.

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