Description

Pursuant to section

(d), 7(d), 10 (e), (f), 11 (a), (c), 12 (d) (1), (d) (2), 14(a), 15(a), 16(a), 17 (a), (b), (d), (e), 18(1), 22(d), 23 (b) (5), (c)(3), 24(d), 26(a)(2)(C), 28(c), 35(d), and others.

MISCELLANEOUS

Requests or petitions that a change in the Commission's rules, regulations or forms be made; comments on proposed rules, regulations or forms; issuance, amendment or repeal of rules, regulations or forms promulgated under various Acts administered by the Commission.

Transcripts of proceedings in public hearings including testimony, exhibits received in evidence, intermediate decisions, oral argument, motions, briefs, exceptions. Commission findings, opinions, orders, rulings, and notices issued for public release. Hearings and comments on proposed rules or statements of policy, etc., except where the writer requests that his comments not be made public.

Periodic reports filed by the International Bank for Reconstruction and Development under Regulation BW-Rules 1 to 4, section 15(a) of the Bretton Woods Agreement Act [17 CFR Part 285].

Periodic reports filed by Inter-American Development Bank, pursuant to Regulation

IA [17 CFR Part 286] adopted pursuant to section 11(a) of the Inter-American Bank Act.

Copies of papers filed in court, and papers and documents received from courts, are primarily for the use of the Commission attorneys and other members of the staff. These may not always be complete and accurate and may contain nonpublic staff notations. However, in appropriate situations, with the approval of the Office of the General Counsel, examination of such material may be made or copies obtained as a matter of courtesy.

Reports by the Commission to the Congress as a whole.

§ 200.80b Appendix B-Classification of releases available.

Mailing lists are maintained in the following classifications only:

1. Rule Proposals: A special classification for those who wish to receive all proposals (except those referred to in item 8 below) for adoption of new rules of forms or amendments of existing rules or forms (under any of the SEC laws) in order to have an opportunity to submit views and comments thereon. Registrants affected by any such proposal will receive copies thereof whether or not they are on this list. For new amended rules or forms, if and when adopted, see other release classifications.

or

2. All Rules Under Securities Act of 1933 (including those with respect to oil and gas royalties, securities and dealers) and under the Trust Indenture Act of 1939: This classification is only for new or amended rules as finally adopted. See classification 2 for proposed new or amended rules or forms.

3. All Rules Under Securities Exchange Act of 1934: This classification is only for new or amended rules, as finally adopted. See classification 2 for proposed new or amended rules or forms.

4. Holding Company Act Opinions and Rules: Special classification for those interested in Commission decisions and rules adopted under this Act (frequently, a summary of a decision is distributed in lieu of the full text thereof). See classification 2 for proposed new or amended rules or forms.

5. All Rules Under Investment Company Act of 1940: This classification is only for new or amended rules, as finally adopted. See classification 2 for proposed new or amended rules or forms.

6. All Rules Under Investment Advisers Act of 1940: This classification is only for new or amended rules, as finally adopted.

See classification 2 for proposed new or amended rules or forms.

7. Accounting: A paperbound book containing Accounting Series Releases Nos. 1 to 77, inclusive, amended to March 10, 1956, may be purchased from the Superintendent of Documents, Government Printing Office, Washington, D.C. 20402, for $1. Proposed new or amended accounting rules will be distributed to persons whose names appear on the accounting list. When any such revision in the accounting rules or other accounting release is adopted, one copy thereof will generally to distributed to each person on this list. However, where the new rule or release is lengthy or may not be of wide, general interest, a special "summary" briefly describing the rule or release will be distributed to this list. In such event, one copy of such newly adopted rule or release may be obtained by request from our Publications and Distribution Unit.

8. Corporate Reorganizations: Announcements relating to the Commission's activities under Chapter X of the Bankruptcy Act, as amended, and advisory reports (or summaries thereof filed with Courts pursuant thereto.

9. Securities Traded on Exchanges: Annual directory and quarterly supplements of securities traded on national securities exchanges.

10. Individuals' Saving: Releases issued quarterly presenting data on the volume and composition of individuals' saving. (Information is also included in the SEC monthly Statistical Bulletin.)

11. Weekly Trading Data on New York Exchanges: SEC stock price indexes and daily round-lot and odd-lot transactions effected on the New York and American Stock Exchanges. (Information is also included in the SEC monthly Statistical Bulletin.)

12. Plant and Equipment Expenditures: Releases issued quarterly presenting data on plan and equipment expenditures of U.S. business, both actual and anticipated. Joint study of SEC and Department of Commerce. (Information is also included in the SEC monthly Statistical Bulletin.)

13. Net Working Capital: Releases issued quarterly presenting data on current assets and liabilities of all U.S. corporations. (Information is also included in the SEC monthly Statistical Bulletin.)

14. Quarterly Financial Reports: Releases issued quarterly summarizing balance sheet and income data for U.S. manufacturing corporations reflected in reports of joint SEC and FTC study. (Copies of reports available at GPO at cost of $1 per year.)

15. New Securities Offerings: Releases issued quarterly presenting data on all new securities offerings by corporations in the United States. (More detailed data is available in the SEC monthly Statistical Bulletin.)

16. Corporate Pension Funds: Releases issued annually presenting estimates of corporate pension fund assets and their com

position and data on receipts and expenditures.

17. Litigation Releases: Releases announcing actions to enjoin violations of SEC laws and rules and developments in such actions, as well as developments in criminal prosecutions for securities violations.

§ 200.80c Appendix C-Other publications available from the Commission. Limited amounts of the following material are available, free of charge, upon request to the Commission's Publications and Distribution Units:

Work of the Securities and Exchange Commission. (This pamphlet describes briefly the duties and activities of the Commission.) Uniform System of Accounts for Public Utility Holding Companies.

Uniform System of Accounts for Mutual Service Companies and Subsidiary Service Companies.

List of Registered Investment Companies. Most frequently used Forms under each of the Acts.

General Rules and Regulations Under the Securities Exchange Act of 1934.

Public Utility Holding Company Act of 1935.

General Rules and Regulations Under the Public Utility Holding Company Act of 1935. Trust Indenture Act of 1939 and General Rules and Regulations Thereunder.

Investment Company Act of 1940, as Amended.

General Rules and Regulations Under the Investment Company Act of 1940.

Investment Advisers Act of 1940 and General Rules and Regulations Thereunder.

Regulation S-X (form and content of financial statements) Under the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, and the Investment Company Act of 1940.

Chapter X of the National Bankruptcy Act.
Rules of Practice of the Commission.
Compilations and Reports:

SEC Annual Report to Congress.
SEC Decisions and Reports.
SEC Judicial Decisions.

Accounting Series Releases (compiled, includes Nos. 1-77-see classification 8 in Appendix A for further information).

Periodicals:

Official Summary. A monthly summary of security transactions and holdings reported under the provisions of the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, and the Investment Company Act of 1940 by officers, directors, and certain other persons.

Statistical Bulletin. Issued monthly. Presents data on new securities offerings, registrations, underwriters, trading on exchanges, stock price indexes, round-lot and odd-lot tradings, special offerings, secondary distributions, and other financial series including those releases under classifications 11 to 15, inclusive.

Quarterly Financial Reports-Manufacturing: Reports beginning with the third quarter of 1955 presenting quarterly balance sheet and income data for all U.S. manufacturing corporations. Joint study of SEC and the Federal Trade Commission.

News Digest. A daily summary of orders, decisions, rules and rule proposals issued by the Commission under the various laws it administers, together with a résumé of flnancing proposals contained in Securities Act registration statements and of other Commission announcements.

Directory of Companies Filing Annual Reports With the Securities and Exchange Commission Under the Securities Exchange Act of 1934. Published annually. Lists companies alphabetically and classified by industry groups according to the Standard Industrial Classification Manual of the Bureau of the Budget.

§ 200.81

Publication of interpretative and no-action letters and other written communications.

(a) Except as provided in paragraphs (b) and (c) of this section, every letter or other written communication requesting the staff of the Commission to provide interpretative legal advice with respect to any statute administered by the Commission or any rule or regulation adopted thereunder, or requesting a statement that, on the basis of the facts stated in such letter or other communication, the staff would not recommend that the Commission take any enforcement action, together with any written response thereto, shall be made available upon request for inspection and copying by any person 30 days after the response has been sent or given to the person requesting it.

(b) Any person submitting such letter or other written communication may also submit therewith a request that it be accorded confidential treatment for a specified period of time, not exceeding 90 days after the expiration of such 30

days, together with a statement setting forth the considerations upon which the request for such treatment is based. If the staff determines that the request is reasonable and appropriate it will be granted and the letter or other communication will not be made available for public inspection or copying until the expiration of the specified period. If it appears to the staff that the request for confidential treatment should be denied, the staff shall so advise the person making the request and such person may withdraw the letter or other communication within 30 days thereafter. In such case, no response will be sent or given and the letter or other communication shall remain in the Commission's files but will not be made public. If such letter or other communication is not so withdrawn, it shall be deemed to be available for public inspection and copying together with any written response thereto.

NOTE: All letters or other written communications requesting interpretative advice or a no action position shall indicate prominently, in a separate caption at the beginning of the request, each section of the Act and each rule to which the request relates. If more than one section or rule is involved, a separate copy of the request shall be submitted for each section or rule involved and an additional copy for the use of the staff of the Commission.

(c) This section shall not apply, however, to letters of comment or other communications relating to the accuracy or adequacy of any registration statement, report, proxy, or information statement or other document filed with the Commission, or relating to the extent to which such statement, report, or document complies with any applicable requirement.

[35 F.R. 17779, Nov. 19, 1970]

Subpart E-Regulation Regarding Equal Employment Opportunity AUTHORITY: The provisions of this Subpart E issued under secs. 19, 23, 48 Stat. 85, 901, as amended, sec. 20, 49 Stat. 833, sec. 319, 53 Stat. 1173, secs. 38, 211, 54 Stat. 841, 855; 15 U.S.C. 778, 78w, 79t, 77sss, 80a-37, 80b-11.

SOURCE: The provisions of this Subpart E appear at 26 F.R. 11290, Nov. 30, 1961, unless otherwise noted.

§ 200.90 General statement.

The purpose of this subpart is to implement Part II of Executive Order

§ 200.92

Designation of Employment Policy Officer.

The Employment Policy Officer of the Commission shall be designated by the Chairman. The Employment Policy Officer may designate, when appropriate, Deputy Employment Policy Officers for each of the regional offices of the Commission to assist the Employment Policy Officer. The positions of the Employment Policy Officer and Deputy Employment Policy Officer shall be established outside the office handling the personnel matters of the Commission unless prior approval is received from the Executive Vice Chairman. In the discharge of his functions, the Employment Policy Officer shall be under the immediate supervision of the Chairman. The name of each Employment Policy Officer, his official title, address and telephone number, and any changes made in his designation, shall be furnished to the Executive Vice Chairman.

Any aggrieved employee of the Commission or qualified applicant for employment in the Commission who believes he has been discriminated against because of race, creed, color or national origin may file a written, signed complaint within 90 days from the date of the alleged discrimination, unless such time is extended by the Employment Policy Officer or the Executive Vice Chairman for good cause shown. The complaint shall state specifically the action or personnel matter complained of and shall contain a full factual statement to support the allegations made. § 200.95 Where to file.

Complaints may be filed with the Employment Policy Officer or with the Committee. Those filed with the Committee may be referred to the appropriate Employment Policy Officer for consideration, or may be processed by the Committee pursuant to 5 CFR 401.22 (26 F.R. 6580). Where complaints are filed with the Employment Policy Officer or Deputy Employment Policy Officer, he shall transmit a copy of the complaint to the Executive Vice Chairman.

§ 200.96 Processing of complaints; time limitation.

Within 30 days from receipt of a complaint by the Employment Policy Officer or within such additional time as may be allowed by the Executive Vice Chairman for good cause shown, the Employment Policy Officer shall process the complaint and submit to the Executive Vice Chairman a report on disposition of the complaint. Where the complainant requests a hearing, the report on the disposition of the complaint may be sub

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