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CHAPTER 11-SECURITIES AND EXCHANGE
148 229 251 256
257 336 339
Rules of practice . . . . . . . . . . . . . . . . . 202 Informal and other procedures . . . . . . . . . . . . . 203 Rules relating to investigations . . . . . . . . . . . . . 210 Form and content of financial statements, Securities Act of 1933,
Securities Exchange Act of 1934, Public Utility Holding Company
Act of 1935, and Investment Company Act of 1940 ...ii 211 Interpretative releases relating to accounting matters . . . . .
General rules and regulations, Securities Act of 1933 ..
general rules and regulations thereunder . . . . . . . . .
Forms prescribed under the Securities Act of 1933 ...... 240 General rules and regulations, Securities Exchange Act of 1934 .. 241 Interpretative releases relating to the Securities Exchange Act of 1934
and general rules and regulations thereunder .... 249 Forms, Securities Exchange Act of 1934 . . . . . . . . . 249a Forms, Securities Investor Protection Act of 1970 ...... 249b Further forms, Securities Exchange Act of 1934 ... 250 General rules and regulations, Public Utility Holding Company Act
of 1935 . . . . . . . . . . . . . . . . . . . . 251 Interpretative releases relating to the Public Utility Holding Com
pany Act of 1935 and general rules and regulations thereunder . . 256 Uniform system of accounts for mutual service companies and sub
sidiary service companies, Public Utility Holding Company Act
of 1935 . . . . . . . . . . . . . . . . . 256a Regulation to govern preservation and destruction of records of
mutual and subsidiary service companies . . . . . . . . 257 Uniform system of accounts for public utility holding companies,
Public Utility Holding Company Act of 1935 . . . . . . . 259 Forms prescribed under the Public Utility Holding Company Act of
1935 . . . . . . . . . . . . . . . . . . . 260 General rules and regulations, Trust Indenture Act of 1939.. 261 Interpretative releases relating to the Trust Indenture Act of 1939
and general rules and regulations thereunder .. 269 Forms prescribed under the Trust Indenture Act of 1939. . . . 270 Rules and Regulations, Investment Company Act of 1940 . . . .
668 672 691 692
784 785 787
274 275 276
Page Interpretative releases relating to the Investment Company Act of 1940 and general rules and regulations thereunder ..
861 Forms prescribed under the Investment Company Act of 1940 .. 863 Rules and regulations, Investment Advisers Act of 1940 .... 869 Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regulations thereunder ..,
885 Forms prescribed under the Investment Advisers Act of 1940 ... 885 Interpretative releases relating to corporate reorganizations under
Chapter X of the Bankruptcy Act . . . . . . . . . . Rules and regulations pursuant to section 15(a) of the Bretton
Woods Agreements Act . . . . . . . . . . . . . . 887 General rules and regulations pursuant to section 11(a) of the Inter
American Development Bank Act ............ General rules and regulations pursuant to section 11(a) of the Asian
Development Bank Act . . . . . . . . . . . . .
PART 200 - ORGANIZATION; CONDUCT
AND ETHICS: AND INFORMATION AND
Management Sec. 200.1 General statement and statutory
authority. 200.2 Statutory functions.
GENERAL ORGANIZATION 200.10 The Commission. 200.11 Headquarters Office Regional Omco
relationship. 200.12 Functional responsibilities. 200.13 Reserved] 200.13a The Secretary of the Commission. 200.13b Director of the Office of Public
Affairs. 200.14 Office of Administrative Law Judges. 200.15 Director of the orice of Opinions
and Review. 200.16 Executive Assistant to the Chairman. 200.17 Chief Management Analyst. 200.18 Director of Division of Corporation
Finance. 200.19a Director of the Division of Markot
Regulation 200.19b Director of the Division of Enforco
ment. 200.20a Director of the Division of Corporate
Regulation. 200.20b Director of Division of Investment
Management. 200.20c Office of Reports and Information
Services. 200.21 The General Counsel. 200.22 The Chief Accountant. 200.23 Omice of Policy Research, 200.24 Office of the Comptroller. 200.26 Office of Personnel. 200.26 Office of Records and Service. 200.26a Office of Data Processing. 200.27 The Regional Administrators 200.28 Issuance of instructions, 200.29 Rules.
Sec. 200.30–1 Delegation of authority to Direc
tor of Division of Corporation
Finance. 200.30, Dologation of authority to Direc
tor of Division of Corporate
Regulation. 200.30–3 Delegation of authority to Director
of Division of Market Regula
tion. 200.304 Delegation of authority to Director
of Division of Enforcement. 200.30–5 Delegation of authority to Director
of Division of Investment Man
agement. 200.30_ Delegation of authority to Ro
gional Administratora. 200.30–7 Delegation of authority to Secre
tary of tho Commission. 200.30–8 Delegation of authority to Direc
tor of Omce of Opinions and Re
view. 200.30–9 Delegation of authority to hear.
ing omcers, 200.30–10 Delegation of authority to Chier
Administrative Law Judge. 200.30 200.30-11 Delegation of Authority to Director,
Office of Reports and Information
Services. 2009 200.30–12 Delegation of authority to Chiet
Economist of Office of Economic
Research. Subpart B-Disposition of Commission Business 200.40 Joint disposition of business by
Commission meeting. 200.41 Disposition of business by seriatim
Commission consideration. 200.42 Disposition of business by exercise
of authority delegated to individ
Subpart C-Canons of Ethics 200.50 Authority. 200.51 Policy. 200.52 Copies of the Canons.
Sec. 200.53 Preamble. 200.54 Constitutional obligations. 200.58 Statutory obligations. 200.58 Personal conduct. 200.57 Relationships with other members. 200.58 Maintenance of independence. 200.59 Relationship with persons subject to
regulation. 200.60 Quaucation to participato in par
ticular matters. 200.61 Impressions of induonce. 200.82 5x 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.
Subpart D-Information and Requests 200.80 Commission records and information. 200.800 Appendix A-Documentary materials
avallablo to the public. 200.80b Appendix B-SEC releases. 200.80c Appendix C-Statutes, rules and mis
cellaneous publications available from the Government Printing
Ofice. 200.80d Appendix D-Other publications
available from the Commission. 200.800 Appendix E-Schedule of fees for
records services. 200.801 Appendix F-Records Control Sched
ule. 200.81 Publication of Interpretative and no
action letters and other written
communications. 200.82 Public avallability of materials Aled
pursuant to $240.148-8(d) and re
Employmont Opportunity 200.90 General statement. 200.91 Deanitons. 200.91 Designation of Employment Policy
Omcor. 200.99 Duties of the Employment Policy
Oncer. 200.94 who may Ale. 200.96 Where to alo. 200.96 Processing of complaints; timo
limitation. 200.97 Investigation. 200.98 Negotiation and settlement. 200.99 Opportunity for hearing and review. 200.100 Right to counsel. 200.101 Final decision. 200.102 Review of cases by Executive Vice
Chairman. 200.103 Report of disposition of complaints. 200.104 Dissemination of informaion.
Subpart Code of Behavior Governing Ex Parte
Communications Between Persons Outsido the
Commission and Decisional Employees Sec. 200.110 Purpose. 200.111 Prohibitions; application; defini
tions. 200.112 Duties of recipient; notice to par
ticiants. 200.113 Opportunity to respond; intercep
tion. 200.114 Sanctions. Subpart G--Plan of Organization and Operation
Effective During Emergency Conditions 200.000 Purpose. 200.201 Emergency conditions, effective
dato, and duration. 200-302 omces, and information and sub
mittals. 200.203 Organization, and delegations of
authority. 200.204 Personnel, fiscal, and service func
tions. 200.205 Effect upon existing Commission
organization, delegations, and
rules. Subpart H-Regulations Pertaining to the Pri
vacy of Individuals and Systems of Records
Maintained by the Commission 200.301 Purpose and scope. 200.302 Definitions. 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. 200.304 Disclosure of requested records. 200.305 Special procedure: Medical records. 200.306 Requests for amendment or correc
tion of records. 200.307 Review of requests for amendment
or correction. 200.308 Appeal of initial adverse agency de
termination as to access or as to
amendment or correction. 200.309 General provisions. 200.310 Fees. 200.311 Penalties. 200.312 Specific exemptions. Subpart 1-Regulations Pertaining to Public
Observation of Commission Meetings Sec. 200.400 Open meetings. 200.401 Definitions. 200.402 Closed meetings. 200.403 Notice of Commission meetings. 200.404 General procedure for determina
tion to close meeting. 200.405 Special procedure for determination
to close meeting 200.406 Certification by the General Coun
Transcripts, minutes, and other
tain proceedings for the reorganization 200.408 Public access to transcripts and
of debtor corporations. Considered tominutes of closed Commission
gether, the laws administered by the meetings; record retention.
Commission proved for the following. 200.409 Administrative appeals. 200.410 Miscellaneous.
(a) Public disclosure of pertinent facts
concerning public offerings of securities Subparts J-L [Reserved]
and securities listed on national securiSubpart M-Regulation Concerning Conduct of
ties exchanges and certain securities Members and Employees and Formor Mombers
trade in the over-the-counter markets. and Employees of the Commission
(b) Enforcement of disclosure require200.735–1 Purpose.
ments in the soliciting of proxies for 200.735–2 Policy.
meetings of security holders by com200.735–3 General provisions.
panies whose securities are listed on ex200.735-4 Outside or private employment.
change, public utility bolding companies, 200.735-5 Securities transactions.
and their subsidiaries and investment 200.735-6 Action in case of personal intor
companies. est. 200.735–7 Negotiation for private employ.
(c) Regulation of the trading in ment.
securities on national securities ex200.735–8 Practice by former members and changes and in the over-the-counter
employees of the Commission markets. 200.735-9 Indebtedness.
(d) Investigation of securities frauds, 200.736-10 Miscellaneous statutory provi
manipulations, and other violations, sions. 200.735–11 Statement of employment and
and the imposition and enforcement of financial interests.
legal sanctions therefor. 200.735–12 Special Government employees. (e) Registration, and the regulation 200.735–13 Disciplinary and other remedial of certain activities, of brokers, dealers action.
and investment advisers. 200.735–14 Employees on leave of absenco.
(f) Supervision of the activities of 200.735–15 Interpretative and advisory
mutual funds and other investment com. service.
panies. Subpart A-Organization and Pro (g) Administration of statutory standgram Management
ards governing protective and other
provisions of trust indentures under AUTHORITY: The provisions of this Subpart
which debt securities are sold to the A issued under secs. 19, 23, 48 Stat. 85, 901,
public. as amended, sec. 20, 49 Stat. 833, sec. 319, 63
(h) Regulation of the purchase and Stat. 1173, secs. 38, 211, 54 Stat. 841, 855; 15 U.S.C. 77, 78, 79t, 77888, 80a-37, 80b-11,
sale of securities, utility properties, and unless otherwise noted.
other assets by registered public utility SOURCE: The provisions of this Subpart A
holding companies and their electric and appear at 25 F.R. 12712, Dec. 22, 1962, unless
gas utility subsidiaries; enforcement of otherwise noted.
statutory standards for public utility
holding company system simplification $ 200.1 General statement and statutory
and integration; and approval of their authority.
reorganization, mergers and consolidaThe Securities and Exchange Commis tions. sion was created in 1934 under the Secu (1) Performance of advisory services rities Exchange Act. That Act trans to Federal courts in corporate reorgaferred to the Commission the adminis nization proceedings under Chapter X tration of the Securities Act of 1933, of the Bankruptcy Act. formerly administered by the Federal (3) Administrative sanctions, injuncTrade Commission. Subsequent laws as tive remedies and criminal prosecution. signed to the Securities and Exchange
There are also private rights of action Commission for administration are: for investors injured by violations of the Public Utility Holding Company Act of
Acts. 1935, Trust Indenture Act of 1939, In- 8200.2 Statutory functions. vestment Company Act of 1940, and In- Following are brief descriptions of the vestment Advisers Act of 1940. By the
Commission's functions under each of terms of Chapter X of the Bankruptcy the statutes it administers: Act, as amended in 1938, the Commission (a) Securities Act of 1933. (1) Issuers also serves as adviser to United States of securities making public offerings for District Courts in connection with cer- sale in interstate commerce or through