17 CFR § 201.33 - Proceedings covered.

---
identifier: "/us/cfr/t17/s201.33"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 201.33 - Proceedings covered."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "201.33"
section_name: "Proceedings covered."
chapter_name: "SECURITIES AND EXCHANGE COMMISSION"
part_number: "201"
part_name: "RULES OF PRACTICE"
positive_law: false
currency: "2026-04-05"
last_updated: "2026-04-05"
format_version: "1.1.0"
generator: "[email protected]"
authority: "15 U.S.C. 77s, 77sss, 78w, 78x, 80a-37, and 80b-11; 5 U.S.C. 504(c)(1)."
regulatory_source: "47 FR 610, Jan. 6, 1982, unless otherwise noted."
cfr_part: "201"
---


# 201.33 Proceedings covered.

(a) The Act applies to adversary adjudications conducted by the Commission. These are on the record adjudications under 5 U.S.C. 554 in which the position of an Office or Division of the Commission as a party, not including *amicus* participation, is presented by an attorney or other representative who enters an appearance and participates in the proceeding. *See* appendix, 17 CFR 201.60.

(b) The fact that the Commission has not identified a type of proceeding as an adversary adjudication shall not preclude the filing of an application by a party who believes the proceeding is covered by the Act; whether the proceeding is covered will then be an issue for resolution in proceedings on the application.

(c) If a proceeding includes both matters covered by the Act and matters specifically excluded from coverage, any award made will include only fees and expenses related to covered issues.

[47 FR 610, Jan. 6, 1982, as amended at 54 FR 53051, Dec. 27, 1989]