General Rules

§ 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.

§ 201.194 - xxx

Rules Regarding Disgorgement and Penalty Payments

§ 201.600 - Interest on sums disgorged.

§ 201.601 - Prompt payment of disgorgement, interest and penalties.

§ 201.610 - Submission of proposed plan of disgorgement.

§ 201.611 - Contents of plan of dis-gorge-ment; provisions for payment.

§ 201.612 - Notice of proposed plan of disgorgement and opportunity for comment by non-parties.

§ 201.613 - Order approving, modifying or disapproving proposed plan of disgorgement.

§§ 201.610--201.614 - [Reserved]

§ 201.614 - Administration of plan of dis-gorge-ment.

§ 201.620 - [Reserved]

§ 201.630 - Inability to pay disgorgement, interest or penalties.

§ 201.700 - Initiation of proceedings for SRO proposed rule changes and for proposed NMS plans and plan amendments.

§ 201.701 - Issuance of order.

Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings

§ 201.900 - Informal procedures and supplementary information concerning adjudicatory proceedings.

Appeal to the Commission and Commission Review

§ 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.

§ 201.442 - Appeal of determination by security-based swap execution facility.

§ 201.443 - Commission consideration of security-based swap execution facility 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).

Rules Relating to Temporary Orders and Suspensions

§ 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).

Initiation of Proceedings and Prehearing Rules

§ 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.

Rules Regarding Hearings

§ 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; electronic copy of exhibits; certification.

§ 201.360 - Initial decision of hearing officer and timing of hearing.

Table I to Subpart D - Adversary Adjudications Conducted by the Commission under 5 U.S.C. 554

Table II to Subpart D - Cross-Reference Showing Location of Rules of Practice Adopted in 1955 With Former Rules of Practice, Related Rules, and Statutory Provisions

Table III to Subpart D - Cross-Reference Table Showing Location of Former Rules of Practice and Related Rules With Rules of Practice Adopted in 1995