Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees

  1. Law
  2. CFR 17
  3. Commodity and Securities Exchanges
  4. Securities and Exchange Commission
  5. Organization; Conduct and Ethics; and Information and Requests
  6. Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees

Checkout our iOS App for a better way to browser and research.

Section
200.110

Purpose.

Section
200.111

Prohibitions; application; definitions.

Section
200.112

Duties of recipient; notice to participants.

Section
200.113

Opportunity to respond; interception.

Section
200.114

Sanctions.