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General Rules
Law
CFR 17
Commodity and Securities Exchanges
Securities and Exchange Commission
Rules of Practice
Rules of Practice
General Rules
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Section
201.100
Scope of the rules of practice.
Section
201.101
Definitions.
Section
201.102
Appearance and practice before the Commission.
Section
201.103
Construction of rules.
Section
201.104
Business hours.
Section
201.110
Presiding officer.
Section
201.111
Hearing officer: Authority.
Section
201.112
Hearing officer: Disqualification and withdrawal.
Section
201.120
Ex parte communications.
Section
201.121
Separation of functions.
Section
201.140
Commission orders and decisions: Signature and availability.
Section
201.141
Orders and decisions: Service of orders instituting proceedings and other orders and decisions.
Section
201.150
Service of papers by parties.
Section
201.151
Filing of papers with the Commission: Procedure.
Section
201.152
Filing of papers: Form.
Section
201.153
Filing of papers: Signature requirement and effect.
Section
201.154
Motions.
Section
201.155
Default; motion to set aside default.
Section
201.160
Time computation.
Section
201.161
Extensions of time, postponements and adjournments.
Section
201.180
Sanctions.
Section
201.190
Confidential treatment of information in certain filings.
Section
201.191
Adjudications not required to be determined on the record after notice and opportunity for hearing.
Section
201.192
Rulemaking: Issuance, amendment and repeal of rules of general application.
Section
201.193
Applications by barred individuals for consent to associate.
Section
201.194
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.