200.30-7 Delegation of authority to Secretary of the Commission. 200.30-8 [Reserved]

200.30-9 Delegation of authority to hearing officers.

200.30-10 Delegation of authority to Chief Administrative Law Judge.

200.30-11 Delegation of authority to Associate Executive Director of the Office of Filings and Information Services. 200.30-12 [Reserved]

200.30-13 Delegation of authority to Associate Executive Director of the Office of the Comptroller.

200.30-14 Delegation of authority to the General Counsel.

200.30-15 Delegation of authority to Executive Director.

200.30-16 Delegation of authority to Executive Assistant to the Chairman. 200.30-17 Delegation of authority to Director of Office of International Affairs. 200.30-18 Delegation of authority to Director of the Office of Compliance Inspections and Examinations.

200.21a The Ethics Counsel.

200.22 The Chief Accountant.

200.23a Office of Economic Analysis.

200.23b [Reserved]

200.24 Office of the Comptroller.

200.24a Director of the Office of Consumer

Affairs.

200.25 Office of Administrative and Person

200.57 Relationships with other members. 200.58 Maintenance of independence.

200.54 Constitutional obligations.

nel Management.

200.26 [Reserved]

200.26a Office of Information Technology.
200.27 The Regional Directors.

200.27a The District Administrators.
200.28 Issuance of instructions.
200.29 Rules.

200.30-1 Delegation of authority to Director
of Division of Corporation Finance.
200.30-3 Delegation of authority to Director
of Division of Market Regulation.
200.30-4 Delegation of authority to Director
of Division of Enforcement.

200.30-5 Delegation of authority to Director of Division of Investment Management. 200.30-6 Delegation of authority to Regional

Directors.

200.30-6a Delegation of authority to District Administrators.

200.59 Relationship with persons subject to regulation.

200.60 Qualification to participate in particular matters.

200.61 Impressions of influence.
200.62 Ex parte communications.
200.63 Commission opinions.
200.64 Judicial review.
200.65 Legislative proposals.
200.66 Investigations.
200.67 Power to adopt rules.
200.68 Promptness.

200.69 Conduct toward parties and their counsel.

200.70 Business promotions.

200.71 Fiduciary relationships.

200.72 Supervision of internal organization.

200.312 Specific exemptions.
200.313 Inspector General exemptions.

Subpart I-Regulations Pertaining to Public
Observation of Commission Meetings

200.400 Open meetings. 200.401 Definitions.

200.402 Closed meetings.

200.403 Notice of Commission meetings. 200.404 General procedure for determination to close meeting.

200.405 Special procedure for determination to close meeting.

200.406 Certification by the General Counsel.

200.407 Transcripts, minutes, and other documents concerning closed Commission meetings.

200.408 Public access to transcripts and minutes of closed Commission meetings; record retention.

200.409 Administrative appeals. 200.410 Miscellaneous.

Subpart N-Commission Information Collection Requirements Under the Paperwork Reduction Act: OMB Control Numbers and Expiration Dates

200.800 OMB control numbers assigned pursuant to the Paperwork Reduction Act.

Subpart A-Organization and
Program Management

AUTHORITY: 15 U.S.C. 778, 78d-1, 78d-2, 78w, 7811(d), 79t, 77sss, 80a-37, 80b-11, unless otherwise noted.

Sections 200.27, 200.27a, 200.30-6, and 200.306a are also issued under 15 U.S.C. 77e, 771, 77g, 77h, 77j, 77q, 77u, 78e, 78g, 78h, 781, 78k, 78m, 780, 780-4, 78q, 78q-1, 78t-1, 78u, 77hhh, 77uuu, 80a-41, 80b-5, and 80b-9.

Section 200.30-1 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 78c(b) 781, 78m, 78n, 780(d).

Section 200.30-3 is also issued under 15 U.S.C. 78b, 78d, 78f, 78k-1, 78s, 78q, 78eee, 79d. Section 200.30-5 is also issued under 15 U.S.C. 77f, 77g, 77h, 77j, 78c(b), 781, 78m, 78n, 780(d), 80a-8, 80a-20, 80a-24, 80a-29, 80b-3, 80b4.

SOURCE: 27 FR 12712, Dec. 22, 1962, unless otherwise noted.

§200.1 General statement and statutory authority.

The Securities and Exchange Commission was created in 1934 under the Securities Exchange Act. That Act transferred to the Commission the administration of the Securities Act of 1933, formerly administered by the Federal Trade Commission. Subsequent laws assigned to the Securities and Exchange Commission for administration are: Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, and Investment Advisers Act of 1940. In addition, under the Bankruptcy Code, the Commission is a statutory party in cases arising under chapters 9 and 11. Considered together, the laws administered by the Commission provided for the following.

(a) Public disclosure of pertinent facts concerning public offerings of securities and securities listed on national securities exchanges and certain securities traded in the over-thecounter markets.

(b) Enforcement of disclosure requirements in the soliciting of proxies for meetings of security holders by