17 CFR Part 200
PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
- PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
- Chapter II—Securities and Exchange Commission
- Subpart A—Organization and Program Management
- § 200.1 General statement and statutory authority.
- § 200.2 Statutory functions.
- § 200.10 The Commission.
- § 200.11 Headquarters Office—Regional Office relationships.
- § 200.12 Functional responsibilities.
- § 200.13 Chief Operating Officer.
- § 200.13a The Secretary of the Commission.
- § 200.13b Director of the Office of Public Affairs.
- § 200.14 Office of Administrative Law Judges.
- § 200.15 Office of International Affairs.
- § 200.16 [Reserved]
- § 200.16a Inspector General.
- § 200.17 [Reserved]
- § 200.18 Director of Division of Corporation Finance.
- § 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.
- § 200.20a [Reserved]
- § 200.20b Director of Division of Investment Management.
- § 200.21 The General Counsel.
- § 200.21a The Ethics Counsel.
- § 200.22 The Chief Accountant.
- § 200.23a Director of the Division of Economic and Risk Analysis and Chief Economist.
- § 200.23b [Reserved]
- § 200.24 Office of Financial Management.
- § 200.24a Director of the Office of Investor Education and Advocacy.
- §§ 200.25-200.26 [Reserved]
- § 200.26a Office of Information Technology.
- § 200.27 The Regional Directors.
- § 200.28 Issuance of instructions.
- § 200.29 Rules.
- § 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.
- § 200.30-3a Delegation of authority to Director of the Office of Municipal Securities.
- § 200.30-3b Delegation of authority to Director of the Office of Credit Ratings.
- § 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.
- § 200.30-11 Delegation of authority to the Chief Accountant.
- § 200.30-12 [Reserved]
- § 200.30-13 Delegation of authority to Chief Financial Officer.
- § 200.30-14 Delegation of authority to the General Counsel.
- § 200.30-15 Delegation of authority to Chief Operating Officer.
- § 200.30-16 [Reserved]
- § 200.30-17 Delegation of authority to Director of Office of International Affairs.
- § 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.
- 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.
- 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 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]
- 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.
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