Skip to content
LexBuild

17 CFR § 201.350 - Record in proceedings before hearing officer; retention of documents; copies.

---
identifier: "/us/cfr/t17/s201.350"
source: "ecfr"
legal_status: "authoritative_unofficial"
title: "17 CFR § 201.350 - Record in proceedings before hearing officer; retention of documents; copies."
title_number: 17
title_name: "Commodity and Securities Exchanges"
section_number: "201.350"
section_name: "Record in proceedings before hearing officer; retention of documents; copies."
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"
---

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

(a) *Contents of the record.* The record shall consist of:

(1) The order instituting proceedings, each notice of hearing and any amendments;

(2) Each application, motion, submission or other paper, and any amendments, motions, objections, and exceptions to or regarding them;

(3) Each stipulation, transcript of testimony and document or other item admitted into evidence;

(4) Each written communication accepted by the hearing officer pursuant to § 201.210;

(5) With respect to a request to disqualify a hearing officer or to allow the hearing officer's withdrawal under § 201.112, each affidavit or transcript of testimony taken and the decision made in connection with the request;

(6) All motions, briefs and other papers filed on interlocutory appeal;

(7) All proposed findings and conclusions;

(8) Each written order issued by the hearing officer or Commission; and

(9) Any other document or item accepted into the record by the hearing officer.

(b) *Retention of documents not admitted.* Any document offered into evidence but excluded shall not be considered a part of the record. The Secretary shall retain any such document until the later of the date upon which a Commission order ending the proceeding becomes final, or the conclusion of any judicial review of the Commission's order.

(c) *Substitution of copies.* A true copy of a document may be substituted for any document in the record or any document retained pursuant to paragraph (b) of this section.

[60 FR 32796, June 23, 1995, as amended at 69 FR 13178, Mar. 19, 2004]