Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer

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Section
205.1

Purpose and scope.

Section
205.2

Definitions.

Section
205.3

Issuer as client.

Section
205.4

Responsibilities of supervisory attorneys.

Section
205.5

Responsibilities of a subordinate attorney.

Section
205.6

Sanctions and discipline.

Section
205.7

No private right of action.