U.S. Code of Federal Regulations

Regulations most recently checked for updates: Sep 16, 2025

All TitlesTitle 17Chapter IIPart 201Subpart D - Subpart D—Rules of Practice

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 - Applications by security-based swap dealers or major security-based swap participants for statutorily disqualified associated persons to effect or be involved in effecting security-based swaps.

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.

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).

RULES REGARDING DISGORGEMENT AND PENALTY PAYMENTS
§ 201.600 - Interest on sums disgorged.
§ 201.601 - Prompt payment of disgorgement, interest and penalties.
§§ 201.610-201.614 - §[Reserved]
§ 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.
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