Title 17

PART 200

Part 200 - Organization; Conduct And Ethics; And Information And Requests

PART 200 - ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Editorial Note:Nomenclature changes to part 200 appear at 76 FR 60371, Sept. 29, 2011.

17:3.0.1.1.1.1	SUBPART A	Subpart A - Organization and Program Management
17:3.0.1.1.1.1.2	SUBJGRP 2	General Organization
17:3.0.1.1.1.1.2.1	SECTION 200.1	200.1 General statement and statutory authority.
17:3.0.1.1.1.1.2.2	SECTION 200.2	200.2 Statutory functions.
17:3.0.1.1.1.1.2.3	SECTION 200.10	200.10 The Commission.
17:3.0.1.1.1.1.2.4	SECTION 200.11	200.11 Headquarters Office - Regional Office relationships.
17:3.0.1.1.1.1.2.5	SECTION 200.12	200.12 Functional responsibilities.
17:3.0.1.1.1.1.2.6	SECTION 200.13	200.13 Chief Operating Officer.
17:3.0.1.1.1.1.2.7	SECTION 200.13a	200.13a The Secretary of the Commission.
17:3.0.1.1.1.1.2.8	SECTION 200.13b	200.13b Director of the Office of Public Affairs.
17:3.0.1.1.1.1.2.9	SECTION 200.14	200.14 Office of Administrative Law Judges.
17:3.0.1.1.1.1.2.10	SECTION 200.15	200.15 Office of International Affairs.
17:3.0.1.1.1.1.2.11	SECTION 200.16	200.16 [Reserved]
17:3.0.1.1.1.1.2.12	SECTION 200.16a	200.16a Inspector General.
17:3.0.1.1.1.1.2.13	SECTION 200.17	200.17 [Reserved]
17:3.0.1.1.1.1.2.14	SECTION 200.18	200.18 Director of Division of Corporation Finance.
17:3.0.1.1.1.1.2.15	SECTION 200.19a	200.19a Director of the Division of Trading and Markets.
17:3.0.1.1.1.1.2.16	SECTION 200.19b	200.19b Director of the Division of Enforcement.
17:3.0.1.1.1.1.2.17	SECTION 200.19c	200.19c Director of the Division of Examinations.
17:3.0.1.1.1.1.2.18	SECTION 200.19d	200.19d Director of the Office of Municipal Securities.
17:3.0.1.1.1.1.2.19	SECTION 200.19e	200.19e Director of the Office of Credit Ratings.
17:3.0.1.1.1.1.2.20	SECTION 200.20a	200.20a [Reserved]
17:3.0.1.1.1.1.2.21	SECTION 200.20b	200.20b Director of Division of Investment Management.
17:3.0.1.1.1.1.2.22	SECTION 200.21	200.21 The General Counsel.
17:3.0.1.1.1.1.2.23	SECTION 200.21a	200.21a The Ethics Counsel.
17:3.0.1.1.1.1.2.24	SECTION 200.22	200.22 The Chief Accountant.
17:3.0.1.1.1.1.2.25	SECTION 200.23a	200.23a Director of the Division of Economic and Risk Analysis and Chief Economist.
17:3.0.1.1.1.1.2.26	SECTION 200.23b	200.23b [Reserved]
17:3.0.1.1.1.1.2.27	SECTION 200.24	200.24 Office of Financial Management.
17:3.0.1.1.1.1.2.28	SECTION 200.24a	200.24a Director of the Office of Investor Education and Advocacy.
17:3.0.1.1.1.1.2.29	SECTION 200.25-200.26	200.25-200.26 [Reserved]
17:3.0.1.1.1.1.2.30	SECTION 200.26a	200.26a Office of Information Technology.
17:3.0.1.1.1.1.2.31	SECTION 200.27	200.27 The Regional Directors.
17:3.0.1.1.1.1.2.32	SECTION 200.28	200.28 Issuance of instructions.
17:3.0.1.1.1.1.2.33	SECTION 200.29	200.29 Rules.
17:3.0.1.1.1.1.2.34	SECTION 200.30-1	200.30-1 Delegation of authority to Director of Division of Corporation Finance.
17:3.0.1.1.1.1.2.35	SECTION 200.30-2	200.30-2 Delegation of authority to the Director of the Division of Economic and Risk Analysis and Chief Economist.
17:3.0.1.1.1.1.2.36	SECTION 200.30-3	200.30-3 Delegation of authority to Director of Division of Trading and Markets.
17:3.0.1.1.1.1.2.37	SECTION 200.30-3a	200.30-3a Delegation of authority to Director of the Office of Municipal Securities.
17:3.0.1.1.1.1.2.38	SECTION 200.30-3b	200.30-3b Delegation of authority to Director of the Office of Credit Ratings.
17:3.0.1.1.1.1.2.39	SECTION 200.30-4	200.30-4 Delegation of authority to Director of Division of Enforcement.
17:3.0.1.1.1.1.2.40	SECTION 200.30-5	200.30-5 Delegation of authority to Director of Division of Investment Management.
17:3.0.1.1.1.1.2.41	SECTION 200.30-6	200.30-6 Delegation of authority to Regional Directors.
17:3.0.1.1.1.1.2.42	SECTION 200.30-7	200.30-7 Delegation of authority to Secretary of the Commission.
17:3.0.1.1.1.1.2.43	SECTION 200.30-8	200.30-8 [Reserved]
17:3.0.1.1.1.1.2.44	SECTION 200.30-9	200.30-9 Delegation of authority to hearing officers.
17:3.0.1.1.1.1.2.45	SECTION 200.30-10	200.30-10 Delegation of authority to Chief Administrative Law Judge.
17:3.0.1.1.1.1.2.46	SECTION 200.30-11	200.30-11 Delegation of authority to the Chief Accountant.
17:3.0.1.1.1.1.2.47	SECTION 200.30-12	200.30-12 [Reserved]
17:3.0.1.1.1.1.2.48	SECTION 200.30-13	200.30-13 Delegation of authority to Chief Financial Officer.
17:3.0.1.1.1.1.2.49	SECTION 200.30-14	200.30-14 Delegation of authority to the General Counsel.
17:3.0.1.1.1.1.2.50	SECTION 200.30-15	200.30-15 Delegation of authority to Chief Operating Officer.
17:3.0.1.1.1.1.2.51	SECTION 200.30-16	200.30-16 [Reserved]
17:3.0.1.1.1.1.2.52	SECTION 200.30-17	200.30-17 Delegation of authority to Director of Office of International Affairs.
17:3.0.1.1.1.1.2.53	SECTION 200.30-18	200.30-18 Delegation of authority to Director of the Division of Examinations.
17:3.0.1.1.1.1.2.54	SECTION 200.30-19	200.30-19 Delegation of authority to Director of the EDGAR Business Office.
17:3.0.1.1.1.2	SUBPART B	Subpart B - Disposition of Commission Business
17:3.0.1.1.1.2.3.1	SECTION 200.40	200.40 Joint disposition of business by Commission meeting.
17:3.0.1.1.1.2.3.2	SECTION 200.41	200.41 Quorum of the Commission.
17:3.0.1.1.1.2.3.3	SECTION 200.42	200.42 Disposition of business by seriatim Commission consideration.
17:3.0.1.1.1.2.3.4	SECTION 200.43	200.43 Disposition of business by exercise of authority delegated to individual Commissioner.
17:3.0.1.1.1.3	SUBPART C	Subpart C - Canons of Ethics
17:3.0.1.1.1.3.3.1	SECTION 200.50	200.50 Authority.
17:3.0.1.1.1.3.3.2	SECTION 200.51	200.51 Policy.
17:3.0.1.1.1.3.3.3	SECTION 200.52	200.52 Copies of the Canons.
17:3.0.1.1.1.3.3.4	SECTION 200.53	200.53 Preamble.
17:3.0.1.1.1.3.3.5	SECTION 200.54	200.54 Constitutional obligations.
17:3.0.1.1.1.3.3.6	SECTION 200.55	200.55 Statutory obligations.
17:3.0.1.1.1.3.3.7	SECTION 200.56	200.56 Personal conduct.
17:3.0.1.1.1.3.3.8	SECTION 200.57	200.57 Relationships with other members.
17:3.0.1.1.1.3.3.9	SECTION 200.58	200.58 Maintenance of independence.
17:3.0.1.1.1.3.3.10	SECTION 200.59	200.59 Relationship with persons subject to regulation.
17:3.0.1.1.1.3.3.11	SECTION 200.60	200.60 Qualification to participate in particular matters.
17:3.0.1.1.1.3.3.12	SECTION 200.61	200.61 Impressions of influence.
17:3.0.1.1.1.3.3.13	SECTION 200.62	200.62 Ex parte communications.
17:3.0.1.1.1.3.3.14	SECTION 200.63	200.63 Commission opinions.
17:3.0.1.1.1.3.3.15	SECTION 200.64	200.64 Judicial review.
17:3.0.1.1.1.3.3.16	SECTION 200.65	200.65 Legislative proposals.
17:3.0.1.1.1.3.3.17	SECTION 200.66	200.66 Investigations.
17:3.0.1.1.1.3.3.18	SECTION 200.67	200.67 Power to adopt rules.
17:3.0.1.1.1.3.3.19	SECTION 200.68	200.68 Promptness.
17:3.0.1.1.1.3.3.20	SECTION 200.69	200.69 Conduct toward parties and their counsel.
17:3.0.1.1.1.3.3.21	SECTION 200.70	200.70 Business promotions.
17:3.0.1.1.1.3.3.22	SECTION 200.71	200.71 Fiduciary relationships.
17:3.0.1.1.1.3.3.23	SECTION 200.72	200.72 Supervision of internal organization.
17:3.0.1.1.1.4	SUBPART D	Subpart D - Information and Requests
17:3.0.1.1.1.4.3.1	SECTION 200.80	200.80 Securities and Exchange Commission records and information.
17:3.0.1.1.1.4.3.2	SECTION 200.81	200.81 Publication of interpretative, no-action and certain exemption letters and other written communications.
17:3.0.1.1.1.4.3.3	SECTION 200.82	200.82 Public availability of materials filed pursuant to § 240.14a-8(d) and related materials.
17:3.0.1.1.1.4.3.4	SECTION 200.82a	200.82a Public availability of materials filed pursuant to § 240.14a-11(g) and related materials.
17:3.0.1.1.1.4.3.5	SECTION 200.83	200.83 Confidential treatment procedures under the Freedom of Information Act.
17:3.0.1.1.1.5	SUBPART E	Subpart E [Reserved]
17:3.0.1.1.1.6	SUBPART F	Subpart F - Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees
17:3.0.1.1.1.6.3.1	SECTION 200.110	200.110 Purpose.
17:3.0.1.1.1.6.3.2	SECTION 200.111	200.111 Prohibitions; application; definitions.
17:3.0.1.1.1.6.3.3	SECTION 200.112	200.112 Duties of recipient; notice to participants.
17:3.0.1.1.1.6.3.4	SECTION 200.113	200.113 Opportunity to respond; interception.
17:3.0.1.1.1.6.3.5	SECTION 200.114	200.114 Sanctions.
17:3.0.1.1.1.7	SUBPART G	Subpart G - Plan of Organization and Operation Effective During Emergency Conditions
17:3.0.1.1.1.7.3.1	SECTION 200.200	200.200 Purpose.
17:3.0.1.1.1.7.3.2	SECTION 200.201	200.201 General provisions.
17:3.0.1.1.1.7.3.3	SECTION 200.202	200.202 Offices, and information and submittals.
17:3.0.1.1.1.7.3.4	SECTION 200.203	200.203 Organization, and delegations of authority.
17:3.0.1.1.1.7.3.5	SECTION 200.204	200.204 Personnel, fiscal, and service functions.
17:3.0.1.1.1.7.3.6	SECTION 200.205	200.205 Effect upon existing Commission organization, delegations, and rules.
17:3.0.1.1.1.8	SUBPART H	Subpart H - Regulations Pertaining to the Privacy of Individuals and Systems of Records Maintained by the Commission
17:3.0.1.1.1.8.3.1	SECTION 200.301	200.301 Purpose and scope.
17:3.0.1.1.1.8.3.2	SECTION 200.302	200.302 Definitions.
17:3.0.1.1.1.8.3.3	SECTION 200.303	200.303 Times, places and requirements for requests pertaining to individual records in a record system and for the identification of individuals making requests for access to the records pertaining to them.
17:3.0.1.1.1.8.3.4	SECTION 200.304	200.304 Disclosure of requested records.
17:3.0.1.1.1.8.3.5	SECTION 200.305	200.305 Special procedure: Medical records.
17:3.0.1.1.1.8.3.6	SECTION 200.306	200.306 Requests for amendment or correction of records.
17:3.0.1.1.1.8.3.7	SECTION 200.307	200.307 Review of requests for amendment or correction.
17:3.0.1.1.1.8.3.8	SECTION 200.308	200.308 Appeal of initial adverse agency determination as to access or as to amendment or correction.
17:3.0.1.1.1.8.3.9	SECTION 200.309	200.309 General provisions.
17:3.0.1.1.1.8.3.10	SECTION 200.310	200.310 Fees.
17:3.0.1.1.1.8.3.11	SECTION 200.311	200.311 Penalties.
17:3.0.1.1.1.8.3.12	SECTION 200.312	200.312 Specific exemptions.
17:3.0.1.1.1.8.3.13	SECTION 200.313	200.313 Inspector General exemptions.
17:3.0.1.1.1.9	SUBPART I	Subpart I - Regulations Pertaining to Public Observation of Commission Meetings
17:3.0.1.1.1.9.3.1	SECTION 200.400	200.400 Open meetings.
17:3.0.1.1.1.9.3.2	SECTION 200.401	200.401 Definitions.
17:3.0.1.1.1.9.3.3	SECTION 200.402	200.402 Closed meetings.
17:3.0.1.1.1.9.3.4	SECTION 200.403	200.403 Notice of Commission meetings.
17:3.0.1.1.1.9.3.5	SECTION 200.404	200.404 General procedure for determination to close meeting.
17:3.0.1.1.1.9.3.6	SECTION 200.405	200.405 Special procedure for determination to close meeting.
17:3.0.1.1.1.9.3.7	SECTION 200.406	200.406 Certification by the General Counsel.
17:3.0.1.1.1.9.3.8	SECTION 200.407	200.407 Transcripts, minutes, and other documents concerning closed Commission meetings.
17:3.0.1.1.1.9.3.9	SECTION 200.408	200.408 Public access to transcripts and minutes of closed Commission meetings; record retention.
17:3.0.1.1.1.9.3.10	SECTION 200.409	200.409 Administrative appeals.
17:3.0.1.1.1.9.3.11	SECTION 200.410	200.410 Miscellaneous.
17:3.0.1.1.1.10	SUBPART J	Subpart J - Classification and Declassification of National Security Information and Material
17:3.0.1.1.1.10.3.1	SECTION 200.500	200.500 Purpose.
17:3.0.1.1.1.10.3.2	SECTION 200.501	200.501 Applicability.
17:3.0.1.1.1.10.3.3	SECTION 200.502	200.502 Definition.
17:3.0.1.1.1.10.3.4	SECTION 200.503	200.503 Senior agency official.
17:3.0.1.1.1.10.3.5	SECTION 200.504	200.504 Oversight Committee.
17:3.0.1.1.1.10.3.6	SECTION 200.505	200.505 Original classification.
17:3.0.1.1.1.10.3.7	SECTION 200.506	200.506 Derivative classification.
17:3.0.1.1.1.10.3.8	SECTION 200.507	200.507 Declassification dates on derivative documents.
17:3.0.1.1.1.10.3.9	SECTION 200.508	200.508 Requests for mandatory review for declassification.
17:3.0.1.1.1.10.3.10	SECTION 200.509	200.509 Challenge to classification by Commission employees.
17:3.0.1.1.1.10.3.11	SECTION 200.510	200.510 Access by historical researchers.
17:3.0.1.1.1.10.3.12	SECTION 200.511	200.511 Access by former Presidential appointees.
17:3.0.1.1.1.11	SUBPART K	Subpart K - Regulations Pertaining to the Protection of the Environment
17:3.0.1.1.1.11.3.1	SECTION 200.550	200.550 Purpose.
17:3.0.1.1.1.11.3.2	SECTION 200.551	200.551 Applicability.
17:3.0.1.1.1.11.3.3	SECTION 200.552	200.552 NEPA planning.
17:3.0.1.1.1.11.3.4	SECTION 200.553	200.553 Draft, final and supplemental impact statements.
17:3.0.1.1.1.11.3.5	SECTION 200.554	200.554 Public availability of information.
17:3.0.1.1.1.12	SUBPART L	Subpart L - Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission
17:3.0.1.1.1.12.3.1	SECTION 200.601	200.601 Purpose.
17:3.0.1.1.1.12.3.2	SECTION 200.602	200.602 Application.
17:3.0.1.1.1.12.3.3	SECTION 200.603	200.603 Definitions.
17:3.0.1.1.1.12.3.4	SECTION 200.604-200.609	200.604-200.609 [Reserved]
17:3.0.1.1.1.12.3.5	SECTION 200.610	200.610 Self-evaluation.
17:3.0.1.1.1.12.3.6	SECTION 200.611	200.611 Notice.
17:3.0.1.1.1.12.3.7	SECTION 200.612-200.629	200.612-200.629 [Reserved]
17:3.0.1.1.1.12.3.8	SECTION 200.630	200.630 General prohibitions against discrimination.
17:3.0.1.1.1.12.3.9	SECTION 200.631-200.639	200.631-200.639 [Reserved]
17:3.0.1.1.1.12.3.10	SECTION 200.640	200.640 Employment.
17:3.0.1.1.1.12.3.11	SECTION 200.641-200.648	200.641-200.648 [Reserved]
17:3.0.1.1.1.12.3.12	SECTION 200.649	200.649 Program accessibility: Discrimination prohibited.
17:3.0.1.1.1.12.3.13	SECTION 200.650	200.650 Program accessibility: Existing facilities.
17:3.0.1.1.1.12.3.14	SECTION 200.651	200.651 Program accessibility: New construction and alterations.
17:3.0.1.1.1.12.3.15	SECTION 200.652-200.659	200.652-200.659 [Reserved]
17:3.0.1.1.1.12.3.16	SECTION 200.660	200.660 Communications.
17:3.0.1.1.1.12.3.17	SECTION 200.661-200.669	200.661-200.669 [Reserved]
17:3.0.1.1.1.12.3.18	SECTION 200.670	200.670 Compliance procedures.
17:3.0.1.1.1.12.3.19	SECTION 200.671-200.699	200.671-200.699 [Reserved]
17:3.0.1.1.1.13	SUBPART M	Subpart M - Regulation Concerning Conduct of Members and Employees and Former Members and Employees of the Commission
17:3.0.1.1.1.13.3.1	SECTION 200.735-1	200.735-1 Purpose.
17:3.0.1.1.1.13.3.2	SECTION 200.735-2	200.735-2 Policy.
17:3.0.1.1.1.13.3.3	SECTION 200.735-3	200.735-3 General provisions.
17:3.0.1.1.1.13.3.4	SECTION 200.735-4	200.735-4 Outside employment and activities.
17:3.0.1.1.1.13.3.5	SECTION 200.735-5	200.735-5 Securities transactions.
17:3.0.1.1.1.13.3.6	SECTION 200.735-6	200.735-6 Action in case of personal interest.
17:3.0.1.1.1.13.3.7	SECTION 200.735-7	200.735-7 Negotiation for employment.
17:3.0.1.1.1.13.3.8	SECTION 200.735-8	200.735-8 Practice by former members and employees of the Commission.
17:3.0.1.1.1.13.3.9	SECTION 200.735-9	200.735-9 Indebtedness.
17:3.0.1.1.1.13.3.10	SECTION 200.735-10	200.735-10 Miscellaneous statutory provisions.
17:3.0.1.1.1.13.3.11	SECTION 200.735-11	200.735-11 Statement of employment and financial interests.
17:3.0.1.1.1.13.3.12	SECTION 200.735-12	200.735-12 Special Government employees.
17:3.0.1.1.1.13.3.13	SECTION 200.735-13	200.735-13 Disciplinary and other remedial action.
17:3.0.1.1.1.13.3.14	SECTION 200.735-14	200.735-14 Employees on leave of absence.
17:3.0.1.1.1.13.3.15	SECTION 200.735-15	200.735-15 Interpretive and advisory service.
17:3.0.1.1.1.13.3.16	SECTION 200.735-16	200.735-16 Delegation.
17:3.0.1.1.1.13.3.17	SECTION 200.735-17	200.735-17 Administration of the conduct regulation.
17:3.0.1.1.1.13.3.18	SECTION 200.735-18	200.735-18 Requests for waivers.
17:3.0.1.1.1.14	SUBPART N	Subpart N - Commission Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers
17:3.0.1.1.1.14.3.1	SECTION 200.800	200.800 OMB control numbers assigned pursuant to the Paperwork Reduction Act.

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