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Title 17—Commodity and

Securities Exchanges

(This book contains Parts 200 to 239)

CHAPTER 11-Securities and Exchange Commission.............

Part 200

PART 200—ORGANIZATION; CON

DUCT AND ETHICS; AND INFOR-
MATION AND REQUESTS

Subpart A-Organization and Program

Management

Sec. 200.1 General statement and statutory au

thority. 200.2 Statutory functions.

200.30–6 Delegation of authority to Re

gional Administrators. 200.30-7 Delegation of authority to Secre

tary of the Commission. 200.30-8 Delegation of authority to Direc

tor of Office of Opinions and Review. 200.30-9 Delegation of authority to hear

ing officers. 200.30-10 Delegation of authority to Chief

Administrative Law Judge. 200.30-11 Delegation of authority to Direc

tor, Office of Applications and Reports

Services. 200.30–12 Delegation of authority to Direc

tor, Office of Consumer Affairs and In

formation Services. 200.30–13 Delegation of authority to

Comptroller. 200.30-14 Delegation of authority to the

General Counsel. 200.30-15 Delegation of authority to Exec

utive Director.

Subpart B-Disposition of Commission Business

200.40 Joint disposition of business by

Coinmission meeting. 200.41 Disposition of business by seriatim

Commission consideration. 200.42 Disposition of business by exercise

of authority delegated to individual Commissioner.

Subpart C—Canons of Ethics

GENERAL ORGANIZATION 200.10 The Commission. 200.11 Headquarters Office-Regional

Office relationship. 200.12 Functional responsibilities. 200.13 Executive Director. 200.13a The Secretary of the Commission. 200.13b Director of the Office of Public Af

fairs. 200.14 Office of Administrative Law

Judges. 200.15 Director of the Office of Opinions

and Review. 200.16 Executive Assistant to the Chair

man. 200.16a Director of Internal Audit. 200.17 Chief Management Analyst. 200.18 Director of Division of Corporation

Finance. 200.19a Director of the Division of Market

Regulation. 200.19b Director of the Division of En

forcement. 200.20b Director of Division of Investment

Management. 200.20c Office of Applications and Reports

Services. 200.21 The General Counsel. 200.21a Ethics Counsel. 200.22 The Chief Accountant. 200.23a Office of the Chief Economist. 200.23b Directorate of Economic and

Policy Analysis. 200.24 Office of the Comptroller. 200.24a Office of Consumer Affairs and In

formation Services. 200.25 Office of Personnel. 200.26 Office of Administrative Services. 200.26a Office of Information Systems

Management. 200.27 The Regional Administrators. 200.28 Issuance of instructions. 200.29 Rules. 200.30-1 Delegation of authority to Direc

200.50 Authority. 200.51 Policy. 200.52 Copies of the Canons. 200.53 Preamble. 200.54 Constitutional obligations. 200.55 Statutory obligations. 200.56 Personal conduct. 200.57 Relationships with other members. 200.58 Maintenance of independence. 200.59 Relationship with persons subject

to regulation. 200.60 Qualification to participate in par

ticular 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 organiza

tion.

Subpart D-Information and Requests 200.80 Commission records and informa

tor of Division of Corporation Finance. 200.30-3 Delegation of authority to Direc

tor of Division of Market Regulation. 200.30-4 Delegation of authority to Direc

tor of Division of Enforcement.
200.30-5 Delegation of authority to Direc-

tor of Division of Investment Manage-
ment.

tion.

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