PocketLaw | CFR 17 | Informal and Other Procedures

Informal and Other Procedures

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General.

Pre-filing assistance and interpretative advice.

Processing of filings.

Instructions for filing fees.

Public Company Accounting Oversight Board (Regulation P)

Facilitating administrative hearings.

Enforcement activities.

Adoption, revision, and rescission of rules and regulations of general application.

Submittals.

Small entity compliance guides.

Small entity enforcement penalty reduction policy.

Policy statement of the Securities and Exchange Commission concerning subpoenas to members of the news media.

Policy statement concerning cooperation by individuals in its investigations and related enforcement actions.

Informal procedure with respect to applications under the Investment Company Act of 1940.