CHAPTER II-SECURITIES AND EXCHANGE COMMISSION Part Page 200 Organization; conduct and ethics; and information and requests 201 Rules of practice 229 202 Informal and other procedures 251 203 Rules relating to investigations 256 210 230 Form and content of financial statements, Securities Act of 1933, 211 Interpretative releases relating to accounting matters 239 Forms prescribed under the Securities Act of 1933 240 241 249 General rules and regulations, Securities Exchange Act of 1934 249a Forms, Securities Investor Protection Act of 1970 2496 Further forms, Securities Exchange Act of 1934 . 250 General rules and regulations, Public Utility Holding Company Act 251 Interpretative releases relating to the Public Utility Holding Com- 256 256a Regulation to govern preservation and destruction of records of mutual and subsidiary service companies 257 336 339 422 427 437 668 672 691 692 693 729 730 744 257 Uniform system of accounts for public utility holding companies, 759 259 Forms prescribed under the Public Utility Holding Company Act of 769 1935 260 General rules and regulations, Trust Indenture Act of 1939 261 Interpretative releases relating to the Trust Indenture Act of 1939 772 269 270 and general rules and regulations thereunder . Forms prescribed under the Trust Indenture Act of 1939 Rules and Regulations, Investment Company Act of 1940 Part 271 274 275 276 279 281 Interpretative releases relating to the Investment Company Act of Forms prescribed under the Investment Company Act of 1940 Page 861 863 869 885 885 887 Rules and regulations pursuant to section 15(a) of the Bretton 287 891 General rules and regulations pursuant to section 11 (a) of the Asian 200.30-1 Delegation of authority to Director of Division of Corporation Finance. 200.30-2 Delegation of authority to Director of Division of Corporate Regulation. 200.30-3 Delegation of authority to Director of Division of Market Regulation. 200.30-4 Delegation of authority to Director 200.30-6 Delegation of authority to Re- 200.30-8 Delegation of authority to Direc- 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 Director, Office of Reports and Information Services. 200.30-12 Delegation of authority to Chief Economist of Office of Economic Research. Subpart B-Disposition of Commission Business 200.41 Disposition of business by seriatim Subpart C-Canons of Ethics 200.50 200.51 Policy. 200.52 Copies of the Canons. Subpart A-Organization and Program Management AUTHORITY: The provisions of this Subpart A 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, unless otherwise noted. SOURCE: The provisions of this Subpart A appear at 25 F.R. 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. By the terms of Chapter X of the Bankruptcy Act, as amended in 1938, the Commission also serves as adviser to United States District Courts in connection with cer tain proceedings for the reorganization of debtor corporations. Considered together, the laws administered by the Commission proved for the following. (a) Public disclosure of pertinent facts concerning public offerings of securities and securities listed on national securities exchanges and certain securities trade in the over-the-counter markets. (b) Enforcement of disclosure requirements in the soliciting of proxies for meetings of security holders by companies whose securities are listed on exchange, public utility holding companies, and their subsidiaries and investment companies. (c) Regulation of the trading in securities on national securities exchanges and in the over-the-counter markets. (d) Investigation of securities frauds, manipulations, and other violations, and the imposition and enforcement of legal sanctions therefor. (e) Registration, and the regulation of certain activities, of brokers, dealers and investment advisers. (f) Supervision of the activities of mutual funds and other investment companies. (g) Administration of statutory standards governing protective and other provisions of trust indentures under which debt securities are sold to the public. (h) Regulation of the purchase and sale of securities, utility properties, and other assets by registered public utility holding companies and their electric and gas utility subsidiaries; enforcement of statutory standards for public utility holding company system simplification and integration; and approval of their reorganization, mergers and consolida |