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Section 201.31
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When the Act applies |
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Section 201.32
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Proceedings covered |
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Section 201.33
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Eligibility of applicants |
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Section 201.34
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Standards for awards |
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Section 201.35
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Allowable fees and expenses |
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Section 201.36
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Delegations of authority |
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Section 201.37
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Contents of application |
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Section 201.41
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Net worth exhibit |
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Section 201.42
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Documentation of fees and expenses |
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Section 201.43
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When an application may be filed |
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Section 201.44
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Filing and service of documents |
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Section 201.51
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Answer to application |
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Section 201.52
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Reply |
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Section 201.53
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Settlement |
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Section 201.54
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Further proceedings |
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Section 201.55
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Decision |
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Section 201.56
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Commission review |
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Section 201.57
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Judicial review |
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Section 201.58
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Payment of award |
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Section 201.59
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Scope of the rules of practice |
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Section 201.100
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Definitions |
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Section 201.101
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Appearance and practice before the Commission |
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Section 201.102
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Construction of rules |
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Section 201.103
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Business hours |
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Section 201.104
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Presiding officer |
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Section 201.110
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Hearing officer: Authority |
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Section 201.111
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Hearing officer: Disqualification and withdrawal |
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Section 201.112
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Ex parte communications |
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Section 201.120
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Separation of functions |
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Section 201.121
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Commission orders and decisions: Signature and availability |
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Section 201.140
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Orders and decisions: Service of orders instituting proceedings and other orders and decisions |
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Section 201.141
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Service of papers by parties |
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Section 201.150
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Filing of papers with the Commission: Procedure |
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Section 201.151
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Filing of papers: Form |
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Section 201.152
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Filing of papers: Signature requirement and effect |
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Section 201.153
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Motions |
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Section 201.154
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Default; motion to set aside default |
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Section 201.155
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Time computation |
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Section 201.160
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Extensions of time, postponements and adjournments |
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Section 201.161
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Sanctions |
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Section 201.180
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Confidential treatment of information in certain filings |
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Section 201.190
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Adjudications not required to be determined on the record after notice and opportunity for hearing |
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Section 201.191
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Rulemaking: Issuance, amendment and repeal of rules of general application |
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Section 201.192
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Applications by barred individuals for consent to associate |
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Section 201.193
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Initiation of proceedings |
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Section 201.200
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Consolidation and severance of proceedings |
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Section 201.201
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Specification of procedures by parties in certain proceedings |
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Section 201.202
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Parties, limited participants and amici curiae |
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Section 201.210
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Answer to allegations |
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Section 201.220
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Prehearing conference |
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Section 201.221
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Prehearing submissions |
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Section 201.222
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Enforcement and disciplinary proceedings: Availability of documents for inspection and copying |
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Section 201.230
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Enforcement and disciplinary proceedings: Production of witness statements |
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Section 201.231
|
Subpoenas |
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Section 201.232
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Depositions upon oral examination |
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Section 201.233
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Depositions upon written questions |
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Section 201.234
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Introducing prior sworn statements of witnesses into the record |
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Section 201.235
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Settlement |
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Section 201.240
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Motion for summary disposition |
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Section 201.250
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Hearings |
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Section 201.300
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Hearings to be public |
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Section 201.301
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Record of hearings |
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Section 201.302
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Failure to appear at hearings: Default |
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Section 201.310
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Evidence: Admissibility |
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Section 201.320
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Evidence: Objections and offers of proof |
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Section 201.321
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Evidence: Confidential information, protective orders |
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Section 201.322
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Evidence: Official notice |
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Section 201.323
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Evidence: Stipulations |
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Section 201.324
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Evidence: Presentation under oath or affirmation |
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Section 201.325
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Evidence: Presentation, rebuttal and cross-examination |
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Section 201.326
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Proposed findings, conclusions and supporting briefs |
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Section 201.340
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Record in proceedings before hearing officer; retention of documents; copies |
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Section 201.350
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Transmittal of documents to Secretary; record index; certification |
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Section 201.351
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Initial decision of hearing officer |
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Section 201.360
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Interlocutory review |
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Section 201.400
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Consideration of stays |
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Section 201.401
|
Appeal of initial decisions by hearing officers |
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Section 201.410
|
Commission consideration of initial decisions by hearing officers |
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Section 201.411
|
Appeal of determinations by self-regulatory organizations |
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Section 201.420
|
Commission consideration of determinations by self-regulatory organizations |
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Section 201.421
|
Appeal of actions made pursuant to delegated authority |
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Section 201.430
|
Commission consideration of actions made pursuant to delegated authority |
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Section 201.431
|
Appeal of determinations by the Public Company Accounting Oversight Board |
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Section 201.440
|
Commission consideration of Board determinations |
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Section 201.441
|
Briefs filed with the Commission |
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Section 201.450
|
Oral argument before the Commission |
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Section 201.451
|
Additional evidence |
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Section 201.452
|
Record before the Commission |
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Section 201.460
|
Reconsideration |
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Section 201.470
|
Receipt of petitions for judicial review pursuant to 28 U |
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Section 201.490
|
Expedited consideration of proceedings |
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Section 201.500
|
Temporary cease-and-desist orders: Application process |
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Section 201.510
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Temporary cease-and-desist orders: Notice; procedures for hearing |
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Section 201.511
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Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing |
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Section 201.512
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Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing |
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Section 201.513
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Temporary cease-and-desist orders: Judicial review; duration |
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Section 201.514
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Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application |
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Section 201.520
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Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on |
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Section 201.521
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Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order |
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Section 201.522
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Suspension of registrations: Duration |
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Section 201.524
|
Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision |
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Section 201.530
|
Initial decision on permanent order: Effect on temporary order |
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Section 201.531
|
Appeal and Commission review of initial decision making a temporary order permanent |
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Section 201.540
|
Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A) |
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Section 201.550
|
Interest on sums disgorged |
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Section 201.600
|
Prompt payment of disgorge ment, interest and penalties |
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Section 201.601
|
Inability to pay disgorge ment, interest or penalties |
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Section 201.630
|
Initiation of proceedings for SRO proposed rule changes |
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Section 201.700
|
Issuance of order |
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Section 201.701
|
Informal Procedures and Supplementary Information Concerning Adjudicatory Proceedings |
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Section 201.900
|
Adjustment of civil monetary penalties--1996 |
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Section 201.1001
|
Adjustment of civil monetary penalties--2001 |
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Section 201.1002
|
Adjustment of civil monetary penalties--2005 |
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Section 201.1003
|
Adjustment of civil monetary penalties--2009 |
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Section 201.1004
|
Adjustment of civil monetary penalties--2013 |
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Section 201.1005
|
Creation of Fair Fund |
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Section 201.1100
|
Submission of plan of distribution; contents of plan |
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Section 201.1101
|
Provisions for payment |
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Section 201.1102
|
Notice of proposed plan and opportunity for comment by non-parties |
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Section 201.1103
|
Order approving, modifying, or disapproving proposed plan |
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Section 201.1104
|
Administration of plan |
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Section 201.1105
|
Right to challenge |
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Section 201.1106
|
General |