Subpart A - Organization and Program Management

§ 200.1 - General statement and statutory authority.

§ 200.2 - Statutory functions.

General Organization

§ 200.30-1 - Delegation of authority to Director of Division of Corporation Finance.

§ 200.30-2 - Delegation of authority to the Director of the Division of Economic and Risk Analysis and Chief Economist.

§ 200.30-3 - Delegation of authority to Director of Division of Trading and Markets.

§ 200.30-4 - Delegation of authority to Director of Division of Enforcement.

§ 200.30-5 - Delegation of authority to Director of Division of Investment Management.

§ 200.30-6 - Delegation of authority to Regional Directors.

§ 200.30-7 - Delegation of authority to Secretary of the Commission.

§ 200.30-8 - [Reserved]

§ 200.30-9 - Delegation of authority to hearing officers.

§ 200.10 - The Commission.

§ 200.30-10 - Delegation of authority to Chief Administrative Law Judge.

§ 200.11 - Headquarters Office - Regional Office relationships.

§ 200.30-11 - Delegation of authority to the Chief Accountant.

§ 200.12 - Functional responsibilities.

§ 200.30-12 - [Reserved]

§ 200.13 - Chief Operating Officer.

§ 200.30-13 - Delegation of authority to Chief Financial Officer.

§ 200.14 - Office of Administrative Law Judges.

§ 200.30-14 - Delegation of authority to the General Counsel.

§ 200.15 - Office of International Affairs.

§ 200.30-15 - Delegation of authority to Chief Operating Officer.

§ 200.16 - [Reserved]

§ 200.30-16 - [Reserved]

§ 200.17 - [Reserved]

§ 200.30-17 - Delegation of authority to Director of Office of International Affairs.

§ 200.18 - Director of Division of Corporation Finance.

§ 200.30-18 - Delegation of authority to Director of the Division of Examinations.

§ 200.30-19 - Delegation of authority to Director of the EDGAR Business Office.

§ 200.21 - The General Counsel.

§ 200.22 - The Chief Accountant.

§ 200.24 - Office of Financial Management.

§ 200.25 - Office of Administrative and Personnel Management.

§ 200.26 - [Reserved]

§ 200.27 - The Regional Directors.

§ 200.28 - Issuance of instructions.

§ 200.29 - Rules.

§ 200.20a - [Reserved]

§ 200.20b - Director of Division of Investment Management.

§ 200.20c - Office of Filings and Information Services.

§§ 200.30-11--200.30-12 - [Reserved]

§ 200.21a - The Ethics Counsel.

§ 200.13a - The Secretary of the Commission.

§ 200.23a - Director of the Division of Economic and Risk Analysis and Chief Economist.

§ 200.30-3a - Delegation of authority to Director of the Office of Municipal Securities.

§ 200.13b - Director of the Office of Public Affairs.

§ 200.23b - [Reserved]

§ 200.30-3b - Delegation of authority to Director of the Office of Credit Ratings.

§ 200.24a - Director of the Office of Investor Education and Advocacy.

§§ 200.25--200.26 - [Reserved]

§ 200.16a - Inspector General.

§ 200.26a - Office of Information Technology.

§ 200.19a - Director of the Division of Trading and Markets.

§ 200.19b - Director of the Division of Enforcement.

§ 200.19c - Director of the Division of Examinations.

§ 200.19d - Director of the Office of Municipal Securities.

§ 200.19e - Director of the Office of Credit Ratings.

Subpart B - Disposition of Commission Business

§ 200.40 - Joint disposition of business by Commission meeting.

§ 200.41 - Quorum of the Commission.

§ 200.42 - Disposition of business by seriatim Commission consideration.

§ 200.43 - Disposition of business by exercise of authority delegated to individual Commissioner.

Subpart C - Canons of Ethics

§ 200.50 - Authority.

§ 200.51 - Policy.

§ 200.52 - Copies of the Canons.

§ 200.53 - Preamble.

§ 200.54 - Constitutional obligations.

§ 200.55 - Statutory obligations.

§ 200.56 - Personal conduct.

§ 200.57 - Relationships with other members.

§ 200.58 - Maintenance of independence.

§ 200.59 - Relationship with persons subject to regulation.

§ 200.60 - Qualification to participate in particular matters.

§ 200.61 - Impressions of influence.

§ 200.62 - Ex parte communications.

§ 200.63 - Commission opinions.

§ 200.64 - Judicial review.

§ 200.65 - Legislative proposals.

§ 200.66 - Investigations.

§ 200.67 - Power to adopt rules.

§ 200.68 - Promptness.

§ 200.69 - Conduct toward parties and their counsel.

§ 200.70 - Business promotions.

§ 200.71 - Fiduciary relationships.

§ 200.72 - Supervision of internal organization.

Subpart D - Information and Requests

§ 200.80 - Securities and Exchange Commission records and information.

§ 200.81 - Publication of interpretative, no-action and certain exemption letters and other written communications.

§ 200.82 - Public availability of materials filed pursuant to § 240.14a-8(d) and related materials.

§ 200.83 - Confidential treatment procedures under the Freedom of Information Act.

§ 200.80a - Appendix A - Documentary materials available to the public.

§ 200.80b - Appendix B - SEC releases.

§ 200.80c - Appendix C - Rules and miscellaneous publications available from the Government Printing Office.

§ 200.80d - Appendix D - Other publications available from the Commission.

§ 200.80e - Appendix E - Schedule of fees for records services.

§ 200.80f - Appendix F - Records control schedule.

§ 200.82a - Public availability of materials filed pursuant to § 240.14a-11(g) and related materials.

Subpart E - XXX

Subpart F - Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees

§ 200.110 - Purpose.

§ 200.111 - Prohibitions; application; definitions.

§ 200.112 - Duties of recipient; notice to participants.

§ 200.113 - Opportunity to respond; interception.

§ 200.114 - Sanctions.

Subpart G - Plan of Organization and Operation Effective During Emergency Conditions

§ 200.200 - Purpose.

§ 200.201 - General provisions.

§ 200.202 - Offices, and information and submittals.

§ 200.203 - Organization, and delegations of authority.

§ 200.204 - Personnel, fiscal, and service functions.

§ 200.205 - Effect upon existing Commission organization, delegations, and rules.

Subpart H - Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission

§ 200.301 - Purpose and scope.

§ 200.302 - Definitions.

§ 200.303 - Procedures for making inquiries and requests for access.

§ 200.304 - Responses to inquiries and requests for access.

§ 200.305 - Requests for amendment or correction of records.

§ 200.306 - Review of requests for amendment or correction.

§ 200.307 - Requests for an accounting of record disclosures.

§ 200.308 - Administrative appeals.

§ 200.309 - Fees.

§ 200.310 - Specific exemptions.

§ 200.311 - Inspector General exemptions.

§ 200.312 - [Reserved]

§ 200.313 - Inspector General exemptions.

Subpart I - Regulations Pertaining to Public Observation of Commission Meetings

§ 200.400 - Open meetings.

§ 200.401 - Definitions.

§ 200.402 - Closed meetings.

§ 200.403 - Notice of Commission meetings.

§ 200.404 - General procedure for determination to close meeting.

§ 200.405 - Special procedure for determination to close meeting.

§ 200.406 - Certification by the General Counsel.

§ 200.407 - Transcripts, minutes, and other documents concerning closed Commission meetings.

§ 200.408 - Public access to transcripts and minutes of closed Commission meetings; record retention.

§ 200.409 - Administrative appeals.

§ 200.410 - Miscellaneous.

Subpart J - Classification and Declassification of National Security Information and Material

§ 200.500 - Purpose.

§ 200.501 - Applicability.

§ 200.502 - Definition.

§ 200.503 - Senior agency official.

§ 200.504 - Oversight Committee.

§ 200.505 - Original classification.

§ 200.506 - Derivative classification.

§ 200.507 - Declassification dates on derivative documents.

§ 200.508 - Requests for mandatory review for declassification.

§ 200.509 - Challenge to classification by Commission employees.

§ 200.510 - Access by historical researchers.

§ 200.511 - Access by former Presidential appointees.

Subpart K - Regulations Pertaining to the Protection of the Environment

§ 200.550 - Purpose.

§ 200.551 - Applicability.

§ 200.552 - NEPA planning.

§ 200.553 - Draft, final and supplemental impact statements.

§ 200.554 - Public availability of information.

Subpart L - Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission

§ 200.601 - Purpose.

§ 200.602 - Application.

§ 200.603 - Definitions.

§ 200.610 - Self-evaluation.

§ 200.611 - Notice.

§ 200.630 - General prohibitions against discrimination.

§ 200.640 - Employment.

§ 200.649 - Program accessibility: Discrimination prohibited.

§ 200.650 - Program accessibility: Existing facilities.

§ 200.651 - Program accessibility: New construction and alterations.

§ 200.660 - Communications.

§ 200.670 - Compliance procedures.

§§ 200.631--200.639 - [Reserved]

§§ 200.641--200.648 - [Reserved]

§§ 200.661--200.669 - [Reserved]

§§ 200.671--200.699 - [Reserved]

§§ 200.612--200.629 - [Reserved]

§§ 200.652--200.659 - [Reserved]

§§ 200.604--200.609 - [Reserved]

Subpart M - Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission

§ 200.735-1 - Purpose.

§ 200.735-2 - Policy.

§ 200.735-3 - General provisions.

§ 200.735-4 - Outside employment and activities.

§ 200.735-5 - Securities transactions.

§ 200.735-6 - Action in case of personal interest.

§ 200.735-7 - Negotiation for employment.

§ 200.735-8 - Practice by former members and employees of the Commission.

§ 200.735-9 - Indebtedness.

§ 200.735-10 - Miscellaneous statutory provisions.

§ 200.735-11 - Statement of employment and financial interests.

§ 200.735-12 - Special Government employees.

§ 200.735-13 - Disciplinary and other remedial action.

§ 200.735-14 - Employees on leave of absence.

§ 200.735-15 - Interpretive and advisory service.

§ 200.735-16 - Delegation.

§ 200.735-17 - Administration of the conduct regulation.

§ 200.735-18 - Requests for waivers.

Subpart N - Commission Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers

§ 200.800 - OMB control numbers assigned pursuant to the Paperwork Reduction Act.

General Organization

§ 200.30-6a - Delegation of authority to District Administrators.

§ 200.27a - The District Administrators.