Part 201 - RULES OF PRACTICE  


Subpart A [Reserved]
Subpart B — Regulations Pertaining to the Equal Access to Justice Act
§ 201.31 Purpose of these rules.
§ 201.32 When the Act applies.
§ 201.33 Proceedings covered.
§ 201.34 Eligibility of applicants.
§ 201.35 Standards for awards.
§ 201.36 Allowable fees and expenses.
§ 201.37 Delegations of authority.
§ 201.41 Contents of application.
§ 201.42 Net worth exhibit.
§ 201.43 Documentation of fees and expenses.
§ 201.44 When an application may be filed.
§ 201.51 Filing and service of documents.
§ 201.52 Answer to application.
§ 201.53 Reply.
§ 201.54 Settlement.
§ 201.55 Further proceedings.
§ 201.56 Decision.
§ 201.57 Commission review.
§ 201.58 Judicial review.
§ 201.59 Payment of award.
§ 201.60 [Reserved]
Subpart C [Reserved]
Subpart D — Rules of Practice
§ 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 and disclosures.
§ 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 or declarations.
§ 201.240 Settlement.
§ 201.250 Dispositive motions.
§ 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 and timing of hearing.
§ 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.
§ 201.523 [Reserved]
§ 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 disgorgement, interest and penalties.
§ 201.620 [Reserved]
§ 201.630 Inability to pay disgorgement, 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.
§§ 201.610-201.614 [Reserved]
Subpart E — Adjustment of Civil Monetary Penalties
§ 201.1001 Adjustment of civil monetary penalties.
§ 201.1002 Adjustment of civil monetary penalties — 2001.
§ 201.1003 Adjustment of civil monetary penalties — 2005.
§ 201.1004 Adjustment of civil monetary penalties — 2009.
§ 201.1005 Adjustment of civil monetary penalties — 2013.
Table 1 to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
Table V to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
Table II to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
Table IV to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
Table III to Subpart E of Part 201—Civil Monetary Penalty Inflation Adjustments
Subpart F — Fair Fund and Disgorgement Plans
§ 201.1100 Creation of Fair Fund.
§ 201.1101 Submission of plan of distribution; contents of plan.
§ 201.1102 Provisions for payment.
§ 201.1103 Notice of proposed plan and opportunity for comment by non-parties.
§ 201.1104 Order approving, modifying, or disapproving proposed plan.
§ 201.1105 Administration of plan.
§ 201.1106 Right to challenge.

Authority

15 U.S.C. 77s, 77sss, 78w, 78x, 80a–37, and 80b–11; 5 U.S.C. 504(c)(1). Sections 201.700 and 201.701 are also issued under sec. 916, Pub. L. 111–203, 124 Stat. 1376.

Source

47 FR 610, Jan. 6, 1982, unless otherwise noted.