Title 17, Part 201 — Rules of Practice

Purpose of these rules.

When the Act applies.

Proceedings covered.

Eligibility of applicants.

Standards for awards.

Allowable fees and expenses.

Delegations of authority.

Contents of application.

Net worth exhibit.

Documentation of fees and expenses.

When an application may be filed.

Filing and service of documents.

Answer to application.

Reply.

Settlement.

Further proceedings.

Decision.

Commission review.

Judicial review.

Payment of award.

[Reserved]

Scope of the rules of practice.

Definitions.

Appearance and practice before the Commission.

Construction of rules.

Business hours.

Presiding officer.

Hearing officer: Authority.

Hearing officer: Disqualification and withdrawal.

Ex parte communications.

Separation of functions.

Commission orders and decisions: Signature and availability.

Orders and decisions: Service of orders instituting proceedings and other orders and decisions.

Service of papers by parties.

Filing of papers with the Commission: Procedure.

Filing of papers: Form.

Filing of papers: Signature requirement and effect.

Motions.

Default; motion to set aside default.

Time computation.

Extensions of time, postponements and adjournments.

Sanctions.

Confidential treatment of information in certain filings.

Adjudications not required to be determined on the record after notice and opportunity for hearing.

Rulemaking: Issuance, amendment and repeal of rules of general application.

Applications by barred individuals for consent to associate.

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.

Consolidation and severance of proceedings.

Specification of procedures by parties in certain proceedings.

Parties, limited participants and amici curiae.

Answer to allegations.

Prehearing conference.

Prehearing submissions and disclosures.

Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.

Enforcement and disciplinary proceedings: Production of witness statements.

Subpoenas.

Depositions upon oral examination.

Depositions upon written questions.

Introducing prior sworn statements or declarations.

Settlement.

Dispositive motions.

Hearings.

Hearings to be public.

Record of hearings.

Failure to appear at hearings: Default.

Evidence: Admissibility.

Evidence: Objections and offers of proof.

Evidence: Confidential information, protective orders.

Evidence: Official notice.

Evidence: Stipulations.

Evidence: Presentation under oath or affirmation.

Evidence: Presentation, rebuttal and cross-examination.

Proposed findings, conclusions and supporting briefs.

Record in proceedings before hearing officer; retention of documents; copies.

Transmittal of documents to Secretary; record index; electronic copy of exhibits; certification.

Initial decision of hearing officer and timing of hearing.

Interlocutory review.

Consideration of stays.

Appeal of initial decisions by hearing officers.

Commission consideration of initial decisions by hearing officers.

Appeal of determinations by self-regulatory organizations.

Commission consideration of determinations by self-regulatory organizations.

Appeal of actions made pursuant to delegated authority.

Commission consideration of actions made pursuant to delegated authority.

Appeal of determinations by the Public Company Accounting Oversight Board.

Commission consideration of Board determinations.

Appeal of determination by security-based swap execution facility.

Commission consideration of security-based swap execution facility determinations.

Briefs filed with the Commission.

Oral argument before the Commission.

Additional evidence.

Record before the Commission.

Reconsideration.

Receipt of petitions for judicial review pursuant to 28 U.S.C. 2112(a)(1).

Expedited consideration of proceedings.

Temporary cease-and-desist orders: Application process.

Temporary cease-and-desist orders: Notice; procedures for hearing.

Temporary cease-and-desist orders: Issuance after notice and opportunity for hearing.

Temporary cease-and-desist orders: Issuance without prior notice and opportunity for hearing.

Temporary cease-and-desist orders: Judicial review; duration.

Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Application.

Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Notice and opportunity for hearing on application.

Suspension of registration of brokers, dealers, or other Exchange Act-registered entities: Issuance and review of order.

[Reserved]

Suspension of registrations: Duration.

Initial decision on permanent order: Timing for submitting proposed findings and preparation of decision.

Initial decision on permanent order: Effect on temporary order.

Appeal and Commission review of initial decision making a temporary order permanent.

Summary suspensions pursuant to Exchange Act Section 12(k)(1)(A).

Interest on sums disgorged.

Prompt payment of disgorgement, interest and penalties.

§§ 201.610-201.614 [Reserved]

[Reserved]

Inability to pay disgorgement, interest or penalties.

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

Issuance of order.

Informal procedures and supplementary information concerning adjudicatory proceedings.

Adjustment of civil monetary penalties.

Creation of Fair Fund.

Submission of plan of distribution; contents of plan.

Provisions for payment.

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

Order approving, modifying, or disapproving proposed plan.

Administration of plan.

Right to challenge.