Initiation of Proceedings and Prehearing Rules

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Rules of Practice
  6. Rules of Practice
  7. Initiation of Proceedings and Prehearing Rules

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Section
201.200

Initiation of proceedings.

Section
201.201

Consolidation and severance of proceedings.

Section
201.202

Specification of procedures by parties in certain proceedings.

Section
201.210

Parties, limited participants and amici curiae.

Section
201.220

Answer to allegations.

Section
201.221

Prehearing conference.

Section
201.222

Prehearing submissions and disclosures.

Section
201.230

Enforcement and disciplinary proceedings: Availability of documents for inspection and copying.

Section
201.231

Enforcement and disciplinary proceedings: Production of witness statements.

Section
201.232

Subpoenas.

Section
201.233

Depositions upon oral examination.

Section
201.234

Depositions upon written questions.

Section
201.235

Introducing prior sworn statements or declarations.

Section
201.240

Settlement.

Section
201.250

Dispositive motions.