Title 17, Part 200 — Organization; Conduct and Ethics; and Information and Requests

General statement and statutory authority.

Statutory functions.

The Commission.

Headquarters Office—Regional Office relationships.

Functional responsibilities.

Chief Operating Officer.

The Secretary of the Commission.

Director of the Office of Public Affairs.

Office of Administrative Law Judges.

Office of International Affairs.

[Reserved]

Inspector General.

[Reserved]

Director of Division of Corporation Finance.

Director of the Division of Trading and Markets.

Director of the Division of Enforcement.

Director of the Division of Examinations.

Director of the Office of Municipal Securities.

Director of the Office of Credit Ratings.

[Reserved]

Director of Division of Investment Management.

The General Counsel.

The Ethics Counsel.

The Chief Accountant.

Director of the Division of Economic and Risk Analysis and Chief Economist.

[Reserved]

Office of Financial Management.

Director of the Office of Investor Education and Advocacy.

§§ 200.25-200.26 [Reserved]

Office of Information Technology.

The Regional Directors.

Issuance of instructions.

Rules.

Delegation of authority to Director of Division of Corporation Finance.

Delegation of authority to the Director of the Division of Economic and Risk Analysis and Chief Economist.

Delegation of authority to Director of Division of Trading and Markets.

Delegation of authority to Director of the Office of Municipal Securities.

Delegation of authority to Director of the Office of Credit Ratings.

Delegation of authority to Director of Division of Enforcement.

Delegation of authority to Director of Division of Investment Management.

Delegation of authority to Regional Directors.

Delegation of authority to Secretary of the Commission.

[Reserved]

Delegation of authority to hearing officers.

Delegation of authority to Chief Administrative Law Judge.

Delegation of authority to the Chief Accountant.

[Reserved]

Delegation of authority to Chief Financial Officer.

Delegation of authority to the General Counsel.

Delegation of authority to Chief Operating Officer.

[Reserved]

Delegation of authority to Director of Office of International Affairs.

Delegation of authority to Director of the Division of Examinations.

Delegation of authority to Director of the EDGAR Business Office.

Joint disposition of business by Commission meeting.

Quorum of the Commission.

Disposition of business by seriatim Commission consideration.

Disposition of business by exercise of authority delegated to individual Commissioner.

Authority.

Policy.

Copies of the Canons.

Preamble.

Constitutional obligations.

Statutory obligations.

Personal conduct.

Relationships with other members.

Maintenance of independence.

Relationship with persons subject to regulation.

Qualification to participate in particular matters.

Impressions of influence.

Ex parte communications.

Commission opinions.

Judicial review.

Legislative proposals.

Investigations.

Power to adopt rules.

Promptness.

Conduct toward parties and their counsel.

Business promotions.

Fiduciary relationships.

Supervision of internal organization.

Securities and Exchange Commission records and information.

Publication of interpretative, no-action and certain exemption letters and other written communications.

Public availability of materials filed pursuant to § 240.14a-8(d) and related materials.

Confidential treatment procedures under the Freedom of Information Act.

Purpose.

Prohibitions; application; definitions.

Duties of recipient; notice to participants.

Opportunity to respond; interception.

Sanctions.

Purpose.

General provisions.

Offices, and information and submittals.

Organization, and delegations of authority.

Personnel, fiscal, and service functions.

Effect upon existing Commission organization, delegations, and rules.

Purpose and scope.

Definitions.

Procedures for making inquiries and requests for access.

Responses to inquiries and requests for access.

Requests for amendment or correction of records.

Review of requests for amendment or correction.

Requests for an accounting of record disclosures.

Administrative appeals.

Fees.

Specific exemptions.

Inspector General exemptions.

[Reserved]

Open meetings.

Definitions.

Closed meetings.

Notice of Commission meetings.

General procedure for determination to close meeting.

Special procedure for determination to close meeting.

Certification by the General Counsel.

Transcripts, minutes, and other documents concerning closed Commission meetings.

Public access to transcripts and minutes of closed Commission meetings; record retention.

Administrative appeals.

Miscellaneous.

Purpose.

Applicability.

Definition.

Senior agency official.

Oversight Committee.

Original classification.

Derivative classification.

Declassification dates on derivative documents.

Requests for mandatory review for declassification.

Challenge to classification by Commission employees.

Access by historical researchers.

Access by former Presidential appointees.

Purpose.

Applicability.

NEPA planning.

Draft, final and supplemental impact statements.

Public availability of information.

Purpose.

Application.

Definitions.

§§ 200.604-200.609 [Reserved]

Self-evaluation.

Notice.

§§ 200.612-200.629 [Reserved]

General prohibitions against discrimination.

§§ 200.631-200.639 [Reserved]

Employment.

§§ 200.641-200.648 [Reserved]

Program accessibility: Discrimination prohibited.

Program accessibility: Existing facilities.

Program accessibility: New construction and alterations.

§§ 200.652-200.659 [Reserved]

Communications.

§§ 200.661-200.669 [Reserved]

Compliance procedures.

§§ 200.671-200.699 [Reserved]

Purpose.

Policy.

General provisions.

Outside employment and activities.

Securities transactions.

Action in case of personal interest.

Negotiation for employment.

Practice by former members and employees of the Commission.

Indebtedness.

Miscellaneous statutory provisions.

Statement of employment and financial interests.

Special Government employees.

Disciplinary and other remedial action.

Employees on leave of absence.

Interpretive and advisory service.

Delegation.

Administration of the conduct regulation.

Requests for waivers.

OMB control numbers assigned pursuant to the Paperwork Reduction Act.