Part 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS  


Subpart A — Organization and Program Management
§ 200.1 General statement and statutory authority.
§ 200.30-1 Delegation of authority to Director of Division of Corporation Finance.
§ 200.2 Statutory functions.
§ 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.
§ 200.30-10 Delegation of authority to Chief Administrative Law Judge.
§ 200.10 The Commission.
§ 200.11 Headquarters Office — Regional Office relationships.
§ 200.30-11 Delegation of authority to the Chief Accountant.
§ 200.30-12 [Reserved]
§ 200.12 Functional responsibilities.
§ 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.
§ 200.30-15 Delegation of authority to Chief Operating Officer.
§ 200.15 Office of International Affairs.
§ 200.30-16 Delegation of authority to Executive Assistant to the Chairman.
§ 200.16 Executive Assistant to the Chairman.
§ 200.17 Chief Management Analyst.
§ 200.30-17 Delegation of authority to Director of Office of International Affairs.
§ 200.30-18 Delegation of authority to Director of the Office of Compliance Inspections and Examinations.
§ 200.18 Director of Division of Corporation Finance.
§ 200.21 The General Counsel.
§ 200.22 The Chief Accountant.
§ 200.24 Office of Financial Management.
§ 200.25 [Reserved]
§ 200.26 [Reserved]
§§ 200.25-200.26 [Reserved]
§ 200.27 The Regional Directors.
§ 200.28 Issuance of instructions.
§ 200.29 Rules.
§ 200.20b Director of Division of Investment Management.
§ 200.21a The Ethics Counsel.
§ 200.23a Office of Economic Analysis.
§ 200.13a The Secretary of the Commission.
§ 200.30-3a Delegation of authority to Director of the Office of Municipal Securities.
§ 200.23b [Reserved]
§ 200.13b Director of the Office of Public Affairs, Policy Evaluation, and Research.
§ 200.24a Director of the Office of Consumer Affairs.
§ 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 Office of Compliance Inspections and Examinations.
§ 200.19d Director of the Office of Municipal Securities.
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 [Reserved]
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 Times, places and requirements for requests pertaining to individual records in a record system and for the identification of individuals making requests for access to the records pertaining to them.
§ 200.304 Disclosure of requested records.
§ 200.305 Special procedure: Medical records.
§ 200.306 Requests for amendment or correction of records.
§ 200.307 Review of requests for amendment or correction.
§ 200.308 Appeal of initial adverse agency determination as to access or as to amendment or correction.
§ 200.309 General provisions.
§ 200.310 Fees.
§ 200.311 Penalties.
§ 200.312 Specific exemptions.
§ 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.
§§ 200.604-200.609 [Reserved]
§ 200.610 Self-evaluation.
§ 200.611 Notice.
§§ 200.612-200.629 [Reserved]
§ 200.630 General prohibitions against discrimination.
§§ 200.631-200.639 [Reserved]
§ 200.640 Employment.
§§ 200.641-200.648 [Reserved]
§ 200.649 Program accessibility: Discrimination prohibited.
§ 200.650 Program accessibility: Existing facilities.
§ 200.651 Program accessibility: New construction and alterations.
§§ 200.652-200.659 [Reserved]
§ 200.660 Communications.
§§ 200.661-200.669 [Reserved]
§ 200.670 Compliance procedures.
§§ 200.671-200.699 [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.

EditorNote

, At 75 FR 47449, Aug. 6, 2010, the general authority citation for part 200 was revised; however, the amendment could not be incorporated due to inaccurate amendatory instruction., At 76 FR 57637, Sept. 16, 2011, the authority citation for part 200 was amended by adding an authority for §200.312; however, this amendment could not be incorporated., Nomenclature changes to part 200 appear at 76 FR 60371, Sept. 29, 2011.