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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 14:14:4.0.1.1.1.0.1.1 | 14 | Aeronautics and Space | II | A | 200 | PART 200—DEFINITIONS AND INSTRUCTIONS | § 200.1 Terms and definitions. | FAA | [Doc. No. DOT-OST-2014-0140, 84 FR 15924, Apr. 16, 2019] | For purposes of this chapter— (a) Unless otherwise specifically stated, words and phrases other than those listed in this section have the meaning defined in 49 U.S.C. Subtitle VII. (b) Department or DOT means the Department of Transportation. (c) Predecessor means the Civil Aeronautics Board (CAB). (d) Order refers to the rules, regulations, and orders prescribed by the Department pursuant to the 49 U.S.C. Subtitle VII or its orders that are, by law, still in effect. (e) FAA means the Federal Aviation Administration, U.S. Department of Transportation. (f) OST-R means the Office of the Assistant Secretary for Research and Technology, U.S. Department of Transportation. (g) Secretary means the Secretary of Transportation, U.S. Department of Transportation. | |||||
| 14:14:4.0.1.1.1.0.1.2 | 14 | Aeronautics and Space | II | A | 200 | PART 200—DEFINITIONS AND INSTRUCTIONS | § 200.2 Instructions. | FAA | [Doc. No. 47939, 57 FR 40100, Sept. 2, 1992, as amended at 65 FR 6456, Feb. 9, 2000] | The regulations of the Department may be cited by section numbers. For example, this regulation may be cited as “§ 200.2 of the Aviation Economic Regulations.” The sections contained in the Rules of Practice may also be cited by appropriate rule numbers. (See § 302.1(c) of this chapter.) For example, 14 CFR 302.10 may be cited as “rule 10 of the Rules of Practice.” | |||||
| 15:15:1.2.2.1.1.0.5.1 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.100 Statutory functions. | NIST | (a) The National Institute of Standards & Technology (NIST) has been assigned the following functions (15 U.S.C. 271 et seq. ): (1) The custody, maintenance, and development of the national standards of measurement, and the provision of means and methods for making measurements consistent with those standards, including the comparison of standards used in scientific investigations, engineering, manufacturing, commerce, and educational institutions with the standards adopted or recognized by the Government. (2) The determination of physical constants and properties of materials when such data are of great importance to scientific or manufacturing interests and are not to be obtained with sufficient accuracy elsewhere. (3) The development of methods for testing materials, mechanisms, and structures, and the testing of materials, supplies, and equipment, including items purchased for use of Government departments and independent establishments. (4) Cooperation with other governmental agencies and with private organizations in the establishment of standard practices, incorporated in codes and specifications. (5) Advisory service to Government agencies on scientific and technical problems. (6) Invention and development of devices to serve special needs of the Government. (b) The calibration and testing activities of NIST stem from the functions in paragraphs (a) (1) and (3) of this section. NIST provides the central basis within the United States for a complete and consistent system of measurement; coordinates that system, and the measurement systems of other nations; and furnishes essential services leading to accurate and uniform physical measurements throughout this Nation's scientific community, industry, and commerce. (c) The provision of standard reference materials for sale to the public is assigned to the Office of Standard Reference Materials of the National Measurement Laboratory, NIST. That Office evaluates the requirements of science and industry for carefully characterized reference materials, st… | ||||||
| 15:15:1.2.2.1.1.0.5.10 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.109 Shipping, insurance, and risk of loss. | NIST | (a) Shipment of apparatus to NIST for calibration or other test should be made only after the customer has accepted the estimate of cost and the tentative scheduling. Repairs and adjustments on apparatus submitted should be attended to by the owner, since NIST will not undertake them except by special arrangement. Apparatus not in good condition will not be calibrated. If defects are found after calibration has begun, the effort may be terminated, a report issued summarizing such information as has been found, and a fee charged in accordance with the amount of work done. (b) The customer should pack apparatus sent to NIST so as to minimize the likelihood of damage in shipment and handling. Suggestions on packing and shipping are made in some sections of SP 250. In every case, the sender should consider the nature of the apparatus, pack it accordingly, and clearly label shipments containing fragile instruments or materials, such as glass and the like. (c) To minimize damage during shipment resulting from inadequate packing, the use of strong reusable containers is recommended. As an aid in preventing loss of such containers, the customer's name should be legibly and permanently marked on the outside. In order to prolong the container's use the notation “REUSABLE CONTAINER, DO NOT DESTROY” should be marked on the outside. (d) Shipping and insurance coverage instructions should be clearly and legibly shown on the purchase order for the calibration or test. The customer must pay shipping charges to and from NIST; shipments from NIST will be made collect. The method of return transportation should be stated, and it is recommeded that return shipments be insured, since NIST will not assume liability for their loss or damage. For long-distance shipping it is found that air express and air freight provide an advantage in reduction of time in transit. If return shipment by parcel post is requested or is a suitable mode of transportation, shipments will be prepaid by NIST, but without covering insurance. When no shippin… | ||||||
| 15:15:1.2.2.1.1.0.5.11 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.110 Priorities and time of completion. | NIST | Schedule work assignments for calibrations and other tests will generally be made in the order in which confirmed requests are received. However, Government work may be given priority. On the regular services, the workload is usually such that the turn-around interval, between the date a customer's apparatus is received and the date it is prepared for return shipment, will be not more than 45 days. Some types of instruments may require considerably longer, particularly if their abnormal behavior requires reruns to check reliability. The customer who can spare the instrument for only a short time can usually arrange by letter or telephone call for shipping it to NIST just as the assigned starting date approaches. A notice will be sent acknowledging receipt of the customer's standard and/or purchase order. If both a confirmed purchase order (or equivalent) and the apparatus have been received, estimates of the completion date and the calibration fee will be sent upon request. | ||||||
| 15:15:1.2.2.1.1.0.5.12 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.111 Witnessing of operations. | NIST | NIST welcomes scientists and engineers who may wish to visit its laboratories and discuss its methods. Ordinarily visitors will not be permitted to witness the actual carrying out of highly precise measurements because their presence introduces distraction that may lead to errors or delays. This policy may be waived in those cases where NIST determines that the visitor can be of service in setting up apparatus of a new or unusual nature, in the case of referee tests, or in other cases in which the legal validity of the result may require the presence of duly authorized witnesses. | ||||||
| 15:15:1.2.2.1.1.0.5.13 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.112 Reports. | NIST | (a) Results of calibrations and other tests are issued to the customer as formal reports entitled, “National Institute of Standards & Technology Report of Calibration,” “National Institute of Standards & Technology Report of Test,” or “National Institute of Standards & Technology Report of Analysis,” as appropriate. Copies are not supplied to other parties except under applicable Federal law. Whenever formal certification is required by law, or to meet special conditions adjudged by NIST to warrant it, a letter will be provided certifying that the particular item was received and calibrated or tested, and identifying the report containing the results. (b) NIST reports of calibration generally include in sentence form a statement of the uncertainty attached to the numerical values reported. Limits of uncertainty usually comprise an estimate of systematic error plus a value of imprecision. Details on how these estimates are arrived at are in many cases included in the calibration report. Additional information may be found in SP 250. (c) The NIST practice is to express data given in calibration or test reports in the SI or International System of Units. The International System of Units (SI) was defined and given official status by the 11th General Conference of Weights and Measures, 1960. A complete listing of SI units is presented in detail in NIST SP 330. The NIST will express data in SI units unless this makes communication excessively complicated. For example, commercial gage designations, commonly used items identified by nominal dimensions, or other commercial nomenclatures or devices (such as drill sizes, or commercial standards for weights and measures) expressed in customary units are an exception from this practice. However, even in such instances, when practical and meaningful, SI and customary units may be given in parallel. Users of NIST calibration services may specify the units to be used in the calibration, especially for commercial devices and standards using customary units or units having some… | ||||||
| 15:15:1.2.2.1.1.0.5.14 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.113 Use of results or reports. | NIST | (a) As the national standards laboratory of the United States, NIST maintains and establishes the primary standards from which measurements in science and industry ultimately derive. It is therefore sometimes desirable for manufacturers or users of measurement standards to make appropriate reference to the relationship of their calibrations to NIST calibrations. The following considerations must be borne in mind, and shall be understood as constituting an agreement on the part of the NIST customer to be bound thereby in making reference to NIST calibration and test reports. (b) The results of calibrations and tests performed by NIST are intended solely for the use of the organization requesting them, and apply only to a particular device or specimen at the time of its test. The results shall not be used to indicate or imply that they are applicable to other similar items. In addition, such results must not be used to indicate or imply that NIST approves, recommends, or endorses the manufacturer, the supplier, or the user of such devices or specimens, or that NIST in any way “guarantees” the later performance of items after calibration or test. (c) NIST declares it to be in the national interest that it maintain an impartial position with respect to any commercial product. Advertising the findings on a single instrument could be misinterpreted as an indication of performance of other instruments of identical or similar type. There will be no objection, however, to a statement that the manufacturer's primary standards have been periodically calibrated by NIST, if this is actually the case, or that the customer might arrange to have NIST calibrate the item purchased from the manufacturer. (d) NIST does not approve, recommend, or endorse any proprietary product or proprietary material. No reference shall be made to NIST, or to reports or results furnished by NIST in any advertising or sales promotion which would indicate or imply that NIST approves, recommends, or endorses any proprietary product or proprietary ma… | ||||||
| 15:15:1.2.2.1.1.0.5.15 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.114 Fees and bills. | NIST | (a) In accordance with 15 U.S.C. 271 et seq., fees are charged for all measurement services performed by NIST, unless waived by the Director, or the Director's designee, when deemed to be in the interest of the Government. The above-mentioned statutes authorize the issuance from time to time of appropriate regulations regarding the payment of fees, the limits of tolerance on standards submitted for verification, and related matters. (b) The minimum fee for any service request accepted by NIST is $10, unless otherwise indicated in SP 250. If apparatus is returned without testing, a minimum charge of $10 may be made to cover handling. Charges commensurate with the work performed will be assessed for calibrations which cannot be completed because of faulty operation of the customer's device. Fees for calibrations or tests include the cost of preparation of an NIST report. Remittances should be made payable to the National Institute of Standards & Technology. | ||||||
| 15:15:1.2.2.1.1.0.5.16 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.115 Description of services and list of fees, incorporation by reference. | NIST | (a) NIST Special Publication 250, “Calibration and Related Measurement Services of the National Institute of Standards & Technology” is hereby incorporated by reference, pursuant to 5 U.S.C. 552(a)(1) and 1 CFR Part 51. SP 250 states the authority under which NIST performs various types of measurement services including calibrations and tests and charges fees therefor, states the general conditions under which the public may secure such services, decribes these services in considerable detail, and lists the fees to be charged, and sets out the instructions for requesting them in an appendix which is reviewed, revised and reissued semi-annually (December and June). The Director, Office of the Federal Register, approved the incorporation by reference on December 28, 1967. (b) SP 250 is available at the following places: (1) Superintendent of Documents, Government Printing Office, Washington, DC 20402. (2) Technical Information and Publications Division, National Institute of Standards & Technology, Washington, DC 20234. (3) District Offices of the U.S. Department of Commerce. (4) Federal Depository Libraries. (c) Revisions of SP 250 will be issued from time to time by the National Institute of Standards & Technology, Washington, DC 20234. (d) Further information concerning policies, procedures, services, and fees may be obtained by writing the Office of Measurement Services, National Institute of Standards & Technology, Washington, DC 20234. | ||||||
| 15:15:1.2.2.1.1.0.5.2 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.101 Measurement research. | NIST | (a) The NIST staff continually reviews the advances in science and the trends in technology, examines the measurement potentialities of newly discovered physical phenomena, and uses these to devise and improve standards, measuring devices, and measurement techniques. As new requirements appear, there are continual shifts of program emphasis to meet the most urgent needs for the measurement of additional quantities, extended ranges, or improved accuracies. (b) The basic research and development activities of NIST are primarily funded by direct appropriations, and are aimed at meeting broad general needs. NIST may also undertake investigations or developments to meet some specialized physical measurement problem of another Government agency, industrial group, or manufacturing firm, using funds supplied by the requesting organization. | ||||||
| 15:15:1.2.2.1.1.0.5.3 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.102 Types of calibration and test services. | NIST | (a) NIST has developed instrumentation and techniques for realizing standards for the seven base units of the International System of Units, as agreed upon by the General Conference of Weights and Measures. Reference standards have been established not only for these seven base units, but also for many derived quantities and their multiples and submultiples. Such reference standards, or equivalent working standards, are used to calibrate laboratory and plant standards for other organizations. Accuracy is maintained by stability checks, by comparison with the standards of other national and international laboratories, and by the exploration of alternative techniques as a means of reducing possible systematic error. (b) Calibrations for many types of instruments and ranges of physical quantities are described in the NIST Special Publication 250 (SP 250). (See § 200.115 for details relating to the description of service items and listing of fees.) (c) In recent years NIST has offered to the public new measurement services called measurement assurance programs. These programs are designed for laboratories whose measurement process involves the calibration of other standards. A measurement assurance program is a measurement quality control process. By use of carefully designed redundant measurements and measurements made on NIST transport standards a total uncertainty of the laboratories measurement process can be determined by NIST. The results of these tests are then reported to the customer as uncertainties of the customer's measurements relative to national standards. (d) Special measurements not listed in SP 250 may be made upon request. These might involve unusual physical quantities, upper or lower extremes of range, higher levels of accuracy, fast response speeds, short durations, broader ranges of associated parameters, or special environmental conditions. Such inquiries should describe clearly the measurement desired. Indication of the scientific or economic basis for the requirements to be satisfied will… | ||||||
| 15:15:1.2.2.1.1.0.5.4 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.103 Consulting and advisory services. | NIST | (a) In areas of its special competence, NIST offers consulting and advisory services on various problems related to measurement, e.g., details of design and construction, operational aspects, unusual or extreme conditions, methods of statistical control of the measurement process, automated acquisition of laboratory data, and data reduction and analysis by computer. Brief consultation may be obtained at no charge; the fee for extended effort will be based upon actual costs incurred. The services outlined in this paragraph do not include services in connection with legal proceedings not involving the United States as a named party, nor to testimony or the production of data, information, or records in such legal proceedings which is governed by the policies and procedures set forth in Subchapter H, Chapter II, Part 275, of this title. (b) To enhance the competence of standards laboratory personnel, NIST conducts at irregular intervals several group seminars on the precision measurement of specific types of physical quantities, offering the opportunity of laboratory observation and informal discussion. A brochure describing the current series of seminars can be obtained by writing the Office of Measurement Services, National Institute of Standards & Technology, Washington, DC 20234. | ||||||
| 15:15:1.2.2.1.1.0.5.5 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.104 Standard reference materials. | NIST | Often the performance of a device or structure can be evaluated at the user's laboratory by comparing its response to unknown materials with its response to a stable, homogeneous reference specimen which has been well-characterized with regard to the physical or chemical property being measured. For information regarding carefully characterized materials see Subchapter B, Chapter II, Part 230, of this title. The Office of Standard Reference Materials in the NIST National Measurement Laboratory administers a program to provide many types of well-characterized materials that are needed to calibrate a measurement system or to produce scientific data that can be readily referred to a common base. NIST SP 260 is a catalog of Standard Reference Materials available from NIST. | ||||||
| 15:15:1.2.2.1.1.0.5.6 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.105 Standard reference data. | NIST | Data on the physical and chemical properties of the large variety of substances used in science and technology need to be compiled and evaluated for application in research, development, engineering design, and commerce. The Office of Standard Reference Data (OSRD) in the NIST National Measurement Laboratory provides coordination of and access to a number of governmental and nongovernmental data centers throughout this country and the world which are responsive to user needs for data. The OSRD's present program is assembled under a series of tasks which include data for application in energy, environment and health, industrial process design, materials durability, and resource recovery. The subject data are disseminated as hard-copy information in the Journal of Physical and Chemical Reference Data, published jointly with the American Chemical Society and the American Institute of Physics, in the National Standard Reference Data System reports as the NSRDS-NIST series, and as NIST special reports. Magnetic tapes of data on selected topics are also issued through the OSRD and the National Technical Information Service. A newsletter, “Reference Data Report,” is issued bimonthly describing current activities. Information concerning the above is available upon request from the OSRD. | ||||||
| 15:15:1.2.2.1.1.0.5.7 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.106 Publications. | NIST | Publications provide the primary means of communicating the results of the NIST programs and services to its varied technical audiences, as well as to the general public. NIST issues some fifteen categories of publications including three periodicals, ten non-periodicals series, interagency reports, and papers in the journals and books of professional organizations, technological associations, and commercial publications. The calibration services, standard reference materials and related measurement services along with changes and fees are published in two Special Publications (SP's) and their supplements. These are SP 250 “Calibration and Related Measurement Services of the National Institute of Standards & Technology” 1 and SP 260 “NIST Standard Reference Materials Catalog.” 1 A complete catalog of all publications by NIST authors is issued annually as a supplement to SP 305 “Publications of the National Institute of Standards & Technology.” Announcements and listings of recent NIST publications and services are published in each issue of the bimonthly “NIST Journal of Research” 2 and the NIST monthly magazine, “Dimensions/NIST” 2 . Complete citations to NIST publications, along with information on availability are published bimonthly in the “NIST Publications Newsletter”, available free from the Technical Information and Publications Division, National Institute of Standards & Technology, Washington, DC 20234. NIST publications are also announced (with abstracts) in “Government Reports Announcements and Index” published every two weeks by the National Technical Information Service (NTIS), Springfield, Virginia 22161 3 . NTIS also sells microfiche copies of all NIST GPO-published documents, as well as paper copy and microfiche versions of NIST Interagency Reports. 1 Single copies available free from the National Institute of Standards & Technology, Washington, DC 20234. 2 For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402, for a subscript… | ||||||
| 15:15:1.2.2.1.1.0.5.8 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.107 WWV-WWVH-WWVB broadcasts. | NIST | (a) Technical services. The NIST radio stations WWV at Fort Collins, Colorado, and WWVH on the island of Kauai, Hawaii, broadcast a number of technical services continuously night and day. These services are: (1) Standard radio frequencies, 2.5, 5, 10, 15, and 20, MHz (WWV) and 2.5, 5, 10, and 15 MHz (WWVH); (2) standard time signals; (3) time intervals; (4) UTI corrections; (5) standard audio frequencies; (6) standard musical pitch; (7) a slow time code; (8) Omega Navigation System status reports; (9) geophysical alerts; and (10) marine storm warnings. NIST also broadcasts time and frequency signals from its low frequency station, WWVB, also located at Fort Collins, Colorado. (2) [Reserved] (b) Time announcements. Once per minute voice announcements are made from WWV and WWVH. The two stations are distinguished by a female voice from WWVH and a male voice from WWV. The WWVH announcement occurs first, at 15 seconds before the minute, while the WWV announcement occurs at 7 1/2 seconds before the minute. Coordinated Universal Time (UTC) is used in these announcements. (c) Time corrections. The UTC time scale operates on atomic frequency, but by means of step adjustments is made to approximate the astronomical UTI scale. It may disagree from UTI by as much as 0.9 second before step adjustments of exactly 1 second are made. These adjustments, or leap seconds are required about once per year and will usually be made on December 31 or June 30. For those who need astronomical time more accurately than 0.9 second, a correction to UTC is encoded by the use of double ticks after the start of each minute. The first through the eighth seconds ticks will indicate a “plus” correction, and from the ninth through the 16th a “minus” correction. The correction is determined by counting the number of double ticks. For example, if the first, second, and third ticks are doubled, the correction is “plus” 0.3 second. If the ninth, 10th, 11th, and 12th ticks are doubled, the correction is “minus” 0.4 second. (d) Standard t… | ||||||
| 15:15:1.2.2.1.1.0.5.9 | 15 | Commerce and Foreign Trade | II | A | 200 | PART 200—POLICIES, SERVICES, PROCEDURES, AND FEES | § 200.108 Request procedure. | NIST | (a) A formal purchase order for the calibration or test should be sent before or at the time the instrument or standard is shipped. The purchase order should provide clear identification of the apparatus being submitted, and give separate instructions for return shipment, mailing of report, and billing. If a customer wishes to minimize the time during which the equipment is out of service, the customer can usually arrange to be notified of the scheduled test date to allow timely shipment. (See § 200.110.) Requests from Federal agencies, or from State agencies, for calibrations or tests on material to be used on private or Federal contract work should be accompanied either by purchase order or by letter or document authorizing the cost of the work to be billed to the agency. (b) The submission of a purchase order for measurement services under this subchapter shall be understood as constituting an agreement on the part of the customer to be bound by the restrictions on the use of results as set forth in § 200.113 of this part. Acceptance of purchase orders does not imply acceptance of any provisions set forth in the order contrary to the policy, practice, or regulations of NIST or the U.S. Government. (A statement to the effect that NIST is an agency of the U.S. Government should satisfy other Government agencies with regard to compliance with Government regulations and Executive orders.) (c) A test number will be assigned by NIST to each instrument or group of similar instruments or standards when the order is accepted. This test number should be referred to in all subsequent communications. Also, each instrument in a group must be uniquely identified, usually by the manufacturer's name and instrument serial number. When the serial number is lacking, an alternative identifying mark should be provided. If none is found, NIST will mark the piece with an NIST identification number. If the apparatus submitted has been previously calibrated by NIST, the serial number or identifying mark should be given on the new or… | ||||||
| 17:17:3.0.1.1.1.1.2.1 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.1 General statement and statutory authority. | SEC | [27 FR 12712, Dec. 22, 1962, as amended at 43 FR 13375, Mar. 30, 1978; 49 FR 12684, Mar. 30, 1984; 60 FR 14623, Mar. 20, 1995; 60 FR 32794, June 23, 1995; 76 FR 71874, Nov. 21, 2011] | 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: 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-the-counter markets. (b) Enforcement of disclosure requirements in the soliciting of proxies for meetings of security holders by companies whose securities are registered pursuant to section 12 of the Securities Exchange Act of 1934, 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) Protection of the interests of public investors involved in bankruptcy reorganization cases and in bankruptcy cases involving the adjustment of debts of a municipality. (i) Administrative sanctions, injunctive remedies, civil money penalties and criminal prosecution. There are also private rights of action for investors injured by violati… | ||||
| 17:17:3.0.1.1.1.1.2.10 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.15 Office of International Affairs. | SEC | [58 FR 52418, Oct. 8, 1993] | (a) The Office of International Affairs (“OIA”) is responsible for the negotiation and implementation of the Commission's bilateral and multilateral agreements and understandings with foreign financial regulatory authorities. OIA coordinates and participates in activities relating to the Commission's international cooperation programs and develops initiatives to enhance the Commission's ability to enforce the federal securities laws in matters with international elements. (b) OIA assists in and facilitates the efforts of the Commission's other divisions and offices in responding to international issues and in developing legislative, rulemaking and other initiatives relating to international securities markets. OIA facilitates the development of and, where appropriate, provides advice and presents Commission positions relating to international initiatives of other U.S. Government departments and agencies affecting regulation of securities markets. OIA plans, coordinates and participates in Commission meetings with foreign financial regulatory authorities. | ||||
| 17:17:3.0.1.1.1.1.2.11 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.16 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.1.2.12 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.16a Inspector General. | SEC | [60 FR 14625, Mar. 20, 1995, as amended at 77 FR 8095, Feb. 14, 2012] | (a) Under the Inspector General Act of 1978, as amended, (5 U.S.C. app.) the Inspector General performs independent and objective investigations and audits relating to the Commission's programs and operations. An investigation seeks to detect and prevent waste, fraud, and abuse in the Commission's programs and operations, such as violations of federal statutes or regulations by contractors and Commission employees or the Standards Of Ethical Conduct For Employees of the Executive Branch. An audit seeks to determine whether: (1) Program goals and results identified in enabling legislation are achieved. (2) Resources are efficiently and economically used and managed. (3) Financial operations are properly conducted. (4) Financial reports are fairly presented. (5) Applicable laws and regulations are complied with. (b) In cooperation with Commission management, the Inspector General generally promotes economy, efficiency, and the effectiveness of waste or fraud detection and prevention in the Commission's programs and operations. The Inspector General also keeps the Congress and the Commission informed about problems and deficiencies in the Commission's programs and operations. (c) The Inspector General reports to the Commission, but is independent of all other Commission management. In addition, the Inspector General independently prepares semi-annual reports to the Congress. (d) With respect to misconduct of Commission employees and contractors, the Inspector General, after consultation with the Ethics Counsel, where appropriate, serves as the Commission's liaison with other federal audit and investigative agencies, such as the Department of Justice and the Executive Council on Integrity and Efficiency. (e) Subpoenas issued in the course of an audit or investigation conducted by the Office of the Inspector General shall be effected by any method prescribed by § 201.232(a) and (c) of this chapter. | ||||
| 17:17:3.0.1.1.1.1.2.13 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.17 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.1.2.14 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.18 Director of Division of Corporation Finance. | SEC | [41 FR 29374, July 16, 1976, as amended at 50 FR 12239, Mar. 28, 1985; 60 FR 14625, Mar. 20, 1995] | The Director of the Division of Corporation Finance is responsible to the Commission for the administration of all matters (except those pertaining to investment companies registered under the Investment Company Act of 1940) relating to establishing and requiring adherence to standards of business and financial disclosure with respect to securities being offered for public sale pursuant to the registration requirements of the Securities Act of 1933 (15 U.S.C. 77a et seq. ) or the exemptions therefrom; establishing and requiring adherence to standards of reporting and disclosure with respect to securities traded on national securities exchanges or required to be registered pursuant to section 12 (g) of the Securities Exchange Act of 1934 (15 U.S.C. 78 l (g)) and with respect to securities whose issuers are required to file reports pursuant to section 15(d) of that Act (15 U.S.C. 78 c (d)); establishing and requiring adherence to disclosure and procedural standards in the solicitation of proxies for the election of directors and other corporate actions; establishing and requiring adherence to standards of disclosure with respect to the filing of statements respecting beneficial ownership and transaction statements pursuant to sections 13 (d), (e), and (g) (15 U.S.C. 78m(d), 78m(e), and 78m(g)) of the Securities Exchange Act of 1934; administering the disclosure and substantive provisions of the Williams Act relating to tender offers; and ensuring adherence to enforcement of the standards set forth in the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq. ) regarding indenture covering debt securities. Those duties shall include, with the exception of enforcement and related activities under the jurisdiction of the Division of Enforcement, the responsibility to the Commission for the administration of the disclosure requirements and other provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939, as listed below: (a) All matters under the Securities Act o… | ||||
| 17:17:3.0.1.1.1.1.2.15 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.19a Director of the Division of Trading and Markets. | SEC | [37 FR 16792, Aug. 19, 1972, as amended at 43 FR 13376, Mar. 30, 1978; 60 FR 14625, Mar. 20, 1995; 69 FR 34461, June 21, 2004; 73 FR 40152, July 11, 2008] | The Director of the Division of Trading and Markets is responsible to the Commission for the administration and execution of the Commission's programs under the Securities Exchange Act of 1934 relating to the structure and operation of the securities markets and the prevention of manipulation in the securities markets. These responsibilities include oversight of the national market system, the national clearance and settlement system, and self-regulatory organizations, such as the national securities exchanges, registered securities associations, clearing agencies, the Municipal Securities Rulemaking Board, and the Securities Investor Protection Corporation. In addition, these responsibilities include administering the Commission's rules related to supervised investment bank holding companies and ultimate holding companies of brokers or dealers that compute deductions for market and credit risk pursuant to § 240.15c3-1e of this chapter. This supervision includes the assessment of internal risk management controls and mathematical models used to calculate net capital and allowances for market, credit, and operational risks. Duties also include the registration and regulation of brokers, dealers, municipal securities dealers, government securities brokers and dealers, transfer agents, and securities information processors. The functions involved in the regulation of such entities include reviewing proposed rule changes of self-regulatory organizations, recommending the adoption and amendment of Commission rules, responding to interpretive, exemptive, and no-action requests, and conducting inspections, examinations, and market surveillance. In addition, the Director shall have the duties specified below: (a) Administration of all matters arising under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ), except: (1) The examination and processing of applications for registration of securities on national securities exchanges pursuant to section 12 of the Act (15 U.S.C. 78 l ). (2) The examination and pro… | ||||
| 17:17:3.0.1.1.1.1.2.16 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.19b Director of the Division of Enforcement. | SEC | [60 FR 14626, Mar. 20, 1995] | The Director of the Division of Enforcement is responsible to the Commission for supervising and conducting all enforcement activities under the acts administered by the Commission. The Director recommends the institution of administrative and injunctive actions arising out of such enforcement activities and determines the sufficiency of evidence to support the allegations in any proposed complaint. The Director supervises the Regional Directors and, in collaboration with the General Counsel, reviews cases to be recommended to the Department of Justice for criminal prosecution. The Director grants or denies access to nonpublic information in the Commission's enforcement files under § 240.24c-1 of this chapter; provided that access under that section shall be granted only with the concurrence of the head of the division or office responsible for the information or the files containing it. | ||||
| 17:17:3.0.1.1.1.1.2.17 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.19c Director of the Division of Examinations. | SEC | [86 FR 9442, Feb. 16, 2021] | The Director of the Division of Examinations (“Examinations”) is responsible for the compliance inspections and examinations relating to the regulation of exchanges, national securities associations, clearing agencies, securities information processors, the Municipal Securities Rulemaking Board, brokers and dealers, municipal securities dealers, municipal advisors, security-based swap data repositories, security-based swap dealers, major security-based swap participants, transfer agents, investment companies, and investment advisers, under sections 13(n)(2), 15B, 15C(d)(1), 15F, and 17(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(n)(2), 78 o -4, 78 o -5(d)(1), 78 o -10, and 78q(b)), section 31(b) of the Investment Company Act of 1940 (15 U.S.C. 80a-30(b)), and section 204 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-4). | ||||
| 17:17:3.0.1.1.1.1.2.18 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.19d Director of the Office of Municipal Securities. | SEC | [86 FR 9442, Feb. 16, 2021] | The Director of the Office of Municipal Securities is responsible to the Commission for the administration and execution of the Commission's programs under the Securities Exchange Act of 1934 relating to the registration and regulation of municipal advisors, the practices of municipal securities brokers and dealers, and oversight of the Municipal Securities Rulemaking Board. The functions involved include recommending the adoption and amendment of Commission rules, reviewing proposed rule changes of the Municipal Securities Rulemaking Board, and responding to interpretive and no-action requests. | ||||
| 17:17:3.0.1.1.1.1.2.19 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.19e Director of the Office of Credit Ratings. | SEC | [86 FR 9442, Feb. 16, 2021] | The Director of the Office of Credit Ratings is responsible to the Commission for the administration and execution of the Commission's programs under the Securities Exchange Act of 1934 relating to the registration and regulation of nationally recognized statistical rating organizations. The functions involved in the regulation of such entities include compliance inspections and examinations, recommending the adoption and amendment of Commission rules, and responding to interpretive and no-action requests. | ||||
| 17:17:3.0.1.1.1.1.2.2 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.2 Statutory functions. | SEC | [27 FR 12712, Dec. 22, 1962, as amended at 49 FR 12684, Mar. 30, 1984; 60 FR 14624, Mar. 20, 1995; 76 FR 71874, Nov. 21, 2011] | Following are brief descriptions of the Commission's functions under each of the statutes it administers: (a) Securities Act of 1933. (1) Issuers of securities making public offerings for sale in interstate commerce or through the mails, directly or by others on their behalf, are required to file with the Commission registration statements containing financial and other pertinent data about the issuer and the offering. A similar requirement is provided with respect to such public offerings on behalf of a controlling person of the issuer. Unless a registration statement is in effect with respect to such securities, it is unlawful to sell the securities in interstate commerce or through the mails. (There are certain limited exemptions, such as government securities, non-public offerings, and intrastate offerings.) The effectiveness of a registration statement may be refused or suspended after a hearing if the statement contains material misstatements or omissions, thus barring sale of the securities until it is appropriately amended. Registration is not a finding by the Commission as to the accuracy of the facts disclosed; and it is unlawful so to represent. Moreover, registration of securities does not imply approval of the issue by the Commission or insure investors against loss in their purchase, but serves rather to provide information upon which investors may make an informed and realistic evaluation of the worth of the securities. (2) Persons responsible for filing false information with the Commission subject themselves to the risk of fine or imprisonment or both; and the issuing company, its directors, officers, and the underwriters and dealers and others may be liable in damages to purchasers of registered securities if the disclosures in the registration statements and prospectus are materially defective. Also the statute contains antifraud provisions which apply generally to the sale of securities, whether or not registered. (b) Securities Exchange Act of 1934. This Act requires the filing of regi… | ||||
| 17:17:3.0.1.1.1.1.2.20 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.20a [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.1.2.21 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.20b Director of Division of Investment Management. | SEC | [41 FR 29375, July 16, 1976, as amended at 50 FR 5064, Feb. 5, 1985; 60 FR 14626, Mar. 20, 1995; 67 FR 43535, July 8, 2002; 76 FR 71874, Nov. 21, 2011] | The Director of the Division of Investment Management is responsible to the Commission for the administration of the Commission's responsibilities under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and with respect to matters pertaining to investment companies registered under the Investment Company Act of 1940 and pooled investment funds or accounts, the administration of all matters relating to establishing and requiring adherence to standards of economic and financial reporting and the administration of fair disclosure and related matters under the Securities Act of 1933 and the Securities Exchange Act of 1934 and enforcement of the standards set forth in the Trust Indenture Act of 1939 regarding indentures covering debt securities, as listed in paragraphs (a) through (e) of this section. These duties shall include inspections arising in connection with such administration but shall exclude enforcement and related activities under the jurisdiction of the Division of Enforcement. (a) The administration of all matters arising under the Investment Company Act of 1940 (15 U.S.C. 80a), except those arising under section 30(h) of the Act (15 U.S.C. 80a-29(h)). (b) All matters arising under the Securities Act of 1933 (15 U.S.C. 77a et seq. ) arising from or pertaining to material field pursuant to the requirements of that Act by investment companies registered under the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq. ) and pooled investment funds or accounts. (c) All matters arising under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ), except the examination and processing of statements of beneficial ownership of securities and changes in such ownership filed under section 16(a) (15 U.S.C. 78p(a)) of such Act, pertaining to investment companies registered under the Investment Company Act of 1940 and pooled investment funds or accounts in connection with: (1) The registration of securities pursuant to section 12 of the Act (15 U.S.C. 78 l ), including the exe… | ||||
| 17:17:3.0.1.1.1.1.2.22 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.21 The General Counsel. | SEC | [86 FR 9442, Feb. 16, 2021] | (a) The General Counsel is the chief legal officer of the Commission. The General Counsel is responsible for the representation of the Commission in judicial proceedings in which it is involved as a party or as amicus curiae, for directing and supervising all civil litigation involving the Commission in the United States District Courts, except for law enforcement actions filed on behalf of the Commission, for directing and supervising the Commission's responsibilities under the Bankruptcy Code and all related litigation, and for representing the Commission in all cases in appellate courts. The General Counsel is responsible for the review of cases which the Division of Enforcement recommends be referred to the Department of Justice with a recommendation for criminal prosecution. In addition, the General Counsel is responsible for advising the Commission at its request or at the request of any division director or office head, or on the General Counsel's own motion, with respect to interpretations involving questions of law; for the conduct of administrative proceedings relating to the disqualification of lawyers from practice before the Commission; for conducting preliminary investigations, as described in 17 CFR 202.5(a), into potential violations of 17 CFR 201.102(e) by attorneys; for the preparation of the Commission comments to the Congress on pending legislation; and for the drafting, in conjunction with appropriate divisions and offices, of legislative proposals to be sponsored by the Commission. The General Counsel is responsible for providing advice to Commission attorneys on professional responsibility issues relating to their official duties. The General Counsel is further responsible for investigating allegations of professional misconduct by Commission staff and, where appropriate, making referrals to state professional boards or societies. The General Counsel is also responsible for the review and clearance of the form and content of articles, treatises, and prepared speeches and addresses by member… | ||||
| 17:17:3.0.1.1.1.1.2.23 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.21a The Ethics Counsel. | SEC | [60 FR 14626, Mar. 20, 1995, as amended at 73 FR 32224, June 5, 2008; 76 FR 71449, Nov. 18, 2011; 79 FR 1735, Jan. 10, 2014; 86 FR 9443, Feb. 16, 2021] | (a) The Ethics Counsel is responsible for administering the Commission's Ethics Program and for interpreting subpart M of this part and 5 CFR part 2635. The Ethics Counsel serves as Counselor to the Commission and its staff with regard to ethical and conflicts of interest questions and acts as the Commission's liaison on such matters with the Office of Human Resources, the Office of Government Ethics, the Office of the Inspector General, and the Department of Justice. When appropriate and subject to the authority of, and in consultation with, the Inspector General, the Ethics Counsel shall inquire into alleged violations of subparts C, F, and M of this part, and 5 CFR part 2635. (b) The Ethics Counsel shall: (1) Receive and review allegations of misconduct by a Commission employee that relate to the Commission's Ethics Program. (2) Refer matters involving management questions to Division Directors, Office Heads, or Regional Directors, and matters involving alleged or apparent employee misconduct to the Office of the Inspector General, except for matters involving alleged professional misconduct ultimately referable to state professional boards or societies, which the Ethics Counsel shall refer to the General Counsel. (3) Refer complaints that appear to involve a violation of Federal criminal statutes, and do not appear to be frivolous, to the Inspector General for referral to the Department of Justice under 28 U.S.C. 535. (4) Act as liaison with the Office of the Inspector General on matters that the Ethics Counsel has referred to that Office, and with state or local authorities on matters that, on occasion, the Ethics Counsel may refer to them. (5) Arrange for the review of proposed publications and prepared speeches under § 200.735-4(e). (6) Provide advice, counseling, interpretations, and opinions with respect to subparts C, F, and M of this part, and 5 CFR part 2635. (7) Draft rules and regulations as necessary to implement the Commission's Ethics Program. | ||||
| 17:17:3.0.1.1.1.1.2.24 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.22 The Chief Accountant. | SEC | [60 FR 14626, Mar. 20, 1995] | The Chief Accountant of the Commission is the principal adviser to the Commission on, and is responsible to the Commission for, all accounting and auditing matters arising in the administration of the federal securities laws. The Chief Accountant oversees the accounting profession's standard-setting and self-regulatory organizations, develops or supervises the development of accounting and auditing rules, regulations, opinions and policy, and interprets Commission accounting policy and positions. The Chief Accountant is responsible for recommending the institution of administrative and disciplinary proceedings relating to the disqualification of accountants to practice before the Commission. The Chief Accountant supervises the procedures to be followed in the Commission's enforcement activities involving accounting and auditing issues and helps resolve differences on accounting issues between registrants and the Commission staff. | ||||
| 17:17:3.0.1.1.1.1.2.25 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.23a Director of the Division of Economic and Risk Analysis and Chief Economist. | SEC | [86 FR 9443, Feb. 16, 2021] | The Director of the Division of Economic and Risk Analysis and Chief Economist serves as economic advisor to the Commission and its staff and is responsible to the Commission for sound economic analysis of market events and conditions; economic analysis in support of Commission rulemaking; economic and risk analysis to inform and support the Commission's enforcement actions and its examination program; development of financial and market data analysis tools; preparation of economic statistics; promotion of data standards; review and guidance of staff research and publications; and assisting the Commission and its staff in responding to policy, legislative, or international issues relating to securities markets. | ||||
| 17:17:3.0.1.1.1.1.2.26 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.23b [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.1.2.27 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.24 Office of Financial Management. | SEC | [86 FR 9443, Feb. 16, 2021] | This Office, under the direction of the Chief Financial Officer, is responsible to the Chief Operating Officer, Chairman and Commission for the internal financial management and programming functions of the Securities and Exchange Commission. These functions include: Budgeting, accounting, payroll and administrative audit. The Chief Financial Officer, and the Chief Financial Officer's designees, serve as liaison to the Commission before the Office of Management and Budget and Congressional Appropriations Committees on appropriation matters, and the Treasury Department and the General Accounting Office on financial and programming matters. | ||||
| 17:17:3.0.1.1.1.1.2.28 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.24a Director of the Office of Investor Education and Advocacy. | SEC | [86 FR 9443, Feb. 16, 2021] | The Director of the Office of Investor Education and Advocacy is responsible to the Chairman for the Commission's investor education and investor assistance programs. These programs include, but are not limited to: (a) Educating investors through in-person outreach, digital and social media, and other communication channels, including the Commission's website for individual investors, Investor.gov , by preparing and distributing to the public educational content describing the operations of the securities markets, developing strategies for prudent investor behavior, and increasing public knowledge of the functions of the Commission. (b) Implementing and administering a nationwide system for resolving investor complaints against individuals and entities regulated by the Commission by processing complaints received from individual investors and seeking to ensure that regulated individuals and entities process and respond to such complaints. (c) Providing information to investors and others who inquire about individuals and entities regulated by the Commission, the operation of the securities markets, or the functions of the Commission. (d) Advising the Commission and its staff, and exchanging information with domestic and international regulators and self-regulatory organizations, about problems frequently encountered by investors and possible solutions to them. (e) Transmitting to other offices and divisions of the Commission information provided by investors which concerns the responsibilities of these offices and divisions. (f) Providing for greater investor input in Commission rulemaking proceedings. | ||||
| 17:17:3.0.1.1.1.1.2.29 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | §§ 200.25-200.26 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.1.2.3 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.10 The Commission. | SEC | [86 FR 9441, Feb. 16, 2021] | The Commission is composed of five members, not more than three of whom may be members of the same political party. The members are appointed by the President, with the advice and consent of the Senate, for 5-year terms, one term ending each year. The Chairman is designated by the President pursuant to the provisions of section 3 of Reorganization Plan No. 10 of 1950 (3 CFR, 1949-1953 Comp., p. 1006). The terms Chair, Chairperson, Chairman, Chairwoman, and the like may be used interchangeably. The Commission is assisted by a staff, which includes lawyers, accountants, engineers, financial security analysts, investigators, and examiners, as well as administrative and clerical employees. | ||||
| 17:17:3.0.1.1.1.1.2.30 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.26a Office of Information Technology. | SEC | [86 FR 9444, Feb. 16, 2021] | The Office of Information Technology is responsible for the analysis, design programming, operation, and maintenance of all agency information systems; developing and implementing long-range technology plans and programs; coordinating all information systems analysis activities being considered or carried out by other divisions and offices, and furnishing such organizations with appropriate assistance and support; providing technical advice to the staff in connection with development of Commission rules and regulations having technology implications; providing expert advice on the Commission's surveillance of technology in the securities industry; evaluating and recommending new technology concepts and capabilities for application within the Commission; and developing technology and automation capabilities and support within the Commission. | ||||
| 17:17:3.0.1.1.1.1.2.31 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.27 The Regional Directors. | SEC | [73 FR 32224, June 5, 2008, as amended at 86 FR 9444, Feb. 16, 2021] | Each Regional Director is responsible for executing the Commission's programs within the Regional Director's geographic region as set forth in § 200.11(b), subject to review, on enforcement matters, by the Director or Deputy Director of the Division of Enforcement and, on examination matters, by the Director of the Division of Examinations, and subject to policy direction and review by the other Division Directors, the General Counsel, and the Chief Accountant. The Regional Directors' responsibilities include particularly the investigation of transactions in securities on national securities exchanges, in the over-the-counter market, and in distribution to the public; the examination of members of national securities exchanges and registered brokers and dealers, transfer agents, investment advisers and investment companies, including the examination of reports filed under § 240.17a-5 of this chapter; the prosecution of injunctive actions in U.S. District Courts and administrative proceedings before Administrative Law Judges; the rendering of assistance to U.S. Attorneys in criminal cases; and the making of the Commission's facilities more readily available to the public in that area. In addition, the Regional Director of the New York Regional Office is responsible for the Commission's participation in cases under chapters 9 and 11 of the Bankruptcy Code in Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, and Vermont; the Regional Director of the Atlanta Regional Office is responsible for such participation in Alabama, Delaware, District of Columbia, Florida, Georgia, Louisiana, Maryland, Mississippi, North Carolina, Puerto Rico, South Carolina, Tennessee, Virgin Islands, Virginia, and West Virginia; the Regional Director of the Chicago Regional Office is responsible for such participation in Arkansas, Colorado, Illinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Missouri, Nebraska, New Mexico, North Dakota, Ohio, Oklahoma, South Dakota, Texas, Wiscons… | ||||
| 17:17:3.0.1.1.1.1.2.32 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.28 Issuance of instructions. | SEC | [27 FR 12712, Dec. 22, 1962, as amended at 73 FR 32224, June 5, 2008] | (a) Within the spheres of responsibilities heretofore set forth, Division and Office Heads, and all Regional Directors may issue such definitive instructions as may be necessary pursuant to this section. (b) All existing procedures and authorizations not inconsistent with this section shall continue in effect until and unless modified by definitive instructions issued pursuant to this paragraph. | ||||
| 17:17:3.0.1.1.1.1.2.33 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.29 Rules. | SEC | The individual operating divisions shall have the initial responsibility for proposing amendments to existing rules or new rules under the statutory provisions within the jurisdiction of the particular division. Where any such proposals presents a legal problem or is a matter of first impression, or involves a matter of enforcement policy or questions involving statutes other than those administered by the Commission, or may have an effect on prior judicial precedent or pending litigation, submission of the proposal should be made to the Office of the General Counsel for an expression of opinion prior to presentation of the matter to the Commission. | |||||
| 17:17:3.0.1.1.1.1.2.34 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-1 Delegation of authority to Director of Division of Corporation Finance. | SEC | [41 FR 29375, July 16, 1976] | Pursuant to sections 4A and 4B of the Securities Exchange Act of 1934, as amended (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Division of Corporation Finance, to be performed by the Director or under the Director's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) With respect to registration of securities pursuant to the Securities Act of 1933 (15 U.S.C. 77a et seq. ), and Regulation C thereunder (§ 230.400 et seq. of this chapter): (1) To determine the effective dates of amendments to registration statements filed pursuant to section 8(c) of the Act (15 U.S.C. 77h(c)). (2) To consent to the withdrawal of registration statements or amendments or exhibits thereto, pursuant to Rule 477 (§ 230.477 of this chapter), and to issue orders declaring registration statements abandoned, pursuant to Rule 479 (§ 230.479 of this chapter). (3) To grant applications for confidential treatment of contract provisions pursuant to § 230.406 of this chapter (Rule 406 under the Act); to issue orders scheduling hearings on such applications and to deny any such application as to which the applicant waives the applicant's right to a hearing, provided such applicant is advised of the applicant's right to have such denial reviewed by the Commission. (4) To accelerate the use or publication of any summary prospectus filed with the Commission pursuant to section 10(b) of the Act (15 U.S.C. 77j(b)) and Rule 431(g) (§ 230.431(g) of this chapter) thereunder. (5) To take the following action pursuant to section 8(a) of the Act (15 U.S.C. 77h(a)): (i) To determine registration statements to be effective within shorter periods of time than 20 days after the filing thereof; (ii) To consent to the filing of amendments prior to the effective dates of registration statements as part thereof, or to determine that amendments filed prior to the effective d… | ||||
| 17:17:3.0.1.1.1.1.2.35 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-2 Delegation of authority to the Director of the Division of Economic and Risk Analysis and Chief Economist. | SEC | [86 FR 9444, Feb. 16, 2021] | Pursuant to sections 4A and 4B of the Securities Exchange Act of 1934, as amended (15 U.S.C. 78d-21, 78d-22), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Division of Economic and Risk Analysis and Chief Economist, to be performed by that person or under that person's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) To update taxonomies and schemas required for use in Commission filings and made available on the Commission's website. (b) [Reserved] | ||||
| 17:17:3.0.1.1.1.1.2.36 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-3 Delegation of authority to Director of Division of Trading and Markets. | SEC | [37 FR 16795, Aug. 19, 1972] | Pursuant to sections 4A and 4B of the Securities Exchange Act of 1934, as amended (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Division of Trading and Markets to be performed by the Director or under the Director's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) With respect to the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ): (1) To approve the withdrawal or striking from listing and registration of securities registered on any national securities exchange pursuant to section 12(d) of the Act (15 U.S.C. 78 l (d)) and Rules 12d2-1 and 12d2-2 thereunder (§§ 240.12d2-1 and 240.12d2-2 of this chapter); (2) [Reserved] (3) Pursuant to section 15(b) of the Act (15 U.S.C. 78 o (b)): (i) To authorize the issuance of orders granting registration of brokers or dealers within forty-five days of the filing of an application for registration as a broker or dealer (or within such longer period as to which the applicant consents); (ii) To authorize the issuance of orders canceling registrations of brokers or dealers, or pending applications for registration, if such brokers or dealers or applicants for registration are no longer in existence or have ceased to do business as brokers or dealers; (4) Pursuant to Rule 19h-1 (§ 240.19h-1 of this chapter): (i) To grant applications with respect to membership in, association with a member of, or participation in, a self-regulatory organization and for other relief as to persons who are subject to an applicable disqualification where such relationships or other relief have been approved or recommended by a self-regulatory organization; (ii) To extend the time for Commission consideration of notices for admission to membership or participation in a self-regulatory organization or association with a member of persons subject to a statutory disqualification pursuant to paragraph (… | ||||
| 17:17:3.0.1.1.1.1.2.37 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-3a Delegation of authority to Director of the Office of Municipal Securities. | SEC | [78 FR 67632, Nov. 12, 2013, as amended at 86 FR 9445, Feb. 16, 2021] | Pursuant to the provisions of Pub. L. 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Office of Municipal Securities to be performed by the Director or under the Director's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) With respect to the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ): (1) Pursuant to section 15B of the Act (15 U.S.C. 78 o -4): (i) To authorize the issuance of orders granting registration of municipal advisors within 45 days of the filing of an application for registration as a municipal advisor (or within such longer period as to which the applicant consents); and (ii) To authorize the issuance of orders canceling the registration of a municipal advisor, if such municipal advisor is no longer in existence or has ceased to do business as a municipal advisor. (2) Pursuant to section 19(b) of the Act, 15 U.S.C. 78s(b), and § 240.19b-4 of this chapter (Rule 19b-4), to publish notices of proposed rule changes filed by the Municipal Securities Rulemaking Board and to approve such proposed rule changes, and to find good cause to approve a proposed rule change earlier than 30 days after the date of publication of such proposed rule change and to publish the reasons for such finding. Pursuant to section 19(b) of the Act, 15 U.S.C. 78s(b), and Rule 19b-4 (§ 240.19b-4 of this chapter), to disapprove a proposed rule change, provided that, with respect to a particular proposed rule change, if two (2) or more Commissioners object in writing to the Director within five (5) business days of being notified by the Director that the Office intends to exercise its authority to disapprove that particular proposed rule change, then the delegation of authority to approve or disapprove that proposal is withdrawn, and the Director shall either present a recommendation to the Commission or … | ||||
| 17:17:3.0.1.1.1.1.2.38 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-3b Delegation of authority to Director of the Office of Credit Ratings. | SEC | [86 FR 9446, Feb. 16, 2021] | Pursuant to the provisions of Public Law 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Office of Credit Ratings to be performed by the Director or under the direction of the Director by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) With respect to the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ): (1) To grant and deny applications for confidential treatment filed pursuant to section 24(b) of the Act (15 U.S.C. 78x(b)) and § 240.24b-2 of this chapter (Rule 24b-2 thereunder); (2) To revoke a grant of confidential treatment for any such application. (b) With respect to the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ): (1) To administer the provisions of § 240.24c-1 of this chapter; provided that access to nonpublic information as defined in § 240.24c-1 shall be provided only with the concurrence of the head of the Commission division or office responsible for such information or the files containing such information. (2) To administer the provisions of section 24(d) of the Act (15 U.S.C. 78x(d)). | ||||
| 17:17:3.0.1.1.1.1.2.39 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-4 Delegation of authority to Director of Division of Enforcement. | SEC | [37 FR 16796, Aug. 19, 1972] | Pursuant to the provisions of Pub. L. No. 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Division of Enforcement to be performed by him or under his direction by such other person or persons as may be designated from time to time by the Chairman of the Commission. (a)(1) To designate officers empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 19(c) of the Securities Act of 1933 (15 U.S.C. 77s(c)), section 21(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78u(b)), section 42(b) of the Investment Company Act of 1940 (15 U.S.C. 80a-41(b)) and section 209(b) of the Investment Advisers Act of 1940 (15 U.S.C. 80b-9(b)). (2) In nonpublic investigative proceedings, to grant requests of persons to procure copies of the transcript of their testimony under § 203.6 of this chapter. (3) To terminate and close all investigations authorized by the Commission pursuant to section 20 of the Securities Act of 1933 (15 U.S.C. 77t), section 21 of the Securities Exchange Act of 1934 (15 U.S.C. 78u), section 42 of the Investment Company Act of 1940 (15 U.S.C. 80a-41) and section 209 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-9). (4) To terminate the authority to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records in the course of investigations instituted by the Commission pursuant to section 19(c) of the Securities Act of 1933 (15 U.S.C. 77s(c)), section 21(b) of the Securities Exchange Act of 1934 (15 U.S.C. 78u(b)), section 42(b) of the Investment Company Ac… | ||||
| 17:17:3.0.1.1.1.1.2.4 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.11 Headquarters Office—Regional Office relationships. | SEC | [73 FR 32223, June 5, 2008, as amended at 86 FR 9441, Feb. 16, 2021; 89 FR 101468, Dec. 16, 2024] | (a)(1) Division and Office Heads in the Headquarters Office (100 F Street, NE., Washington, DC 20549) have Commission-wide responsibility to the Commission for the overall development, policy and technical guidance, and policy direction of the operating programs under their jurisdiction. (2) Each Regional Director is responsible for the direction and supervision of the Regional Director's work force and for the execution of all programs in the Regional Director's office's region as shown in paragraph (b) of this section, in accordance with established policy, and reports, on enforcement matters, to the Director or Deputy Director of the Division of Enforcement who is responsible for Regional Office enforcement matters and, on examination matters, to the Director of the Division of Examinations. (b) Regional Directors of the Commission. Atlanta Regional Office: Alabama, Georgia, North Carolina, South Carolina, and Tennessee—Regional Director, 950 East Paces Ferry Rd. NE, Suite 900, Atlanta, GA 30326-1382. Boston Regional Office: Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, and Vermont—Regional Director, 33 Arch Street, 24th Floor, Boston, MA 02110-1424. Chicago Regional Office: Kentucky, Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, Ohio, and Wisconsin—Regional Director, 175 West Jackson Boulevard, Suite 1450, Chicago, IL 60604-2511. Denver Regional Office: Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, Utah, and Wyoming—Regional Director, 1961 Stout Street, Suite 1700, Denver, CO 80294-1961. Fort Worth Regional Office: Arkansas, Kansas (for certain purposes), Oklahoma, and Texas—Regional Director, Burnett Plaza, Suite 1900, 801 Cherry Street, Unit #18, Fort Worth, TX 76102-6819. Los Angeles Regional Office: Arizona, Southern California (zip codes 93599 and below, except 93200-93299), Guam, Hawaii, and Nevada—Regional Director, 444 South Flower Street, Suite 900, Los Angeles, CA 90071-2939. Miami Regional Office: Florida, Louisiana, Mississippi… | ||||
| 17:17:3.0.1.1.1.1.2.40 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-5 Delegation of authority to Director of Division of Investment Management. | SEC | [41 FR 29376, July 16, 1976] | Pursuant to the provisions of sections 4A and 4B of the Securities Exchange Act of 1934, as amended, (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Division of Investment Management, to be performed by the Director or under the Director's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) With respect to the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq. ): (1) Except as otherwise provided in this section, to issue notices, under § 270.0-5 of this chapter, with respect to applications for orders under the Act and the rules and regulations thereunder and, with respect to section 8(f) of the Act (15 U.S.C. 80a-8(f)), in cases where no application has been filed, where, upon examination, the matter does not appear to the Director to present significant issues that have not been previously settled by the Commission or to raise questions of fact or policy indicating that the public interest or the interest of investors warrants that the Commission consider the matter. (2) Except as otherwise provided in this section, to authorize the issuance of orders where a notice, under § 270.0-5 of this chapter, has been issued and no request for a hearing has been received from any interested person within the period specified in the notice and the Director believes that the matter presents no significant issues that have not been previously settled by the Commission and it does not appear to the Director to be necessary in the public interest or the interest of investors that the Commission consider the matter. (3) To permit the withdrawal of applications pursuant to the Act (15 U.S.C. 80a-1 et seq. ) (4) In connection with the mailing of reports to stockholders and the filing with the Commission of registration statements and of reports: (i) To grant reasonable extensions of time, upon a showing of good cause and that it would… | ||||
| 17:17:3.0.1.1.1.1.2.41 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-6 Delegation of authority to Regional Directors. | SEC | [28 FR 2856, Mar. 22, 1963, as amended at 36 FR 7659, Apr. 23, 1971. Redesignated at 37 FR 16792, Aug. 19, 1972] | Pursuant to sections 4A and 4B of the Securities Exchange Act of 1934, as amended (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to each Regional Director, to be performed by the Regional Director or under the Regional Director's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) With respect to the Securities Exchange Act of 1934, 15 U.S.C. 78 et seq.: (1) Pursuant to section 15(b)(2)(C) of the Act (15 U.S.C. 78o(b)(2)(C)): (i) To delay until the second six month period from registration with the Commission, the inspection of newly registered broker-dealers that have not commenced actual operations within six months of their registration with the Commission; and (ii) To delay until the second six month period from registration with the Commission, the inspection of newly registered broker-dealers to determine whether they are in compliance with applicable provisions of the Act and rules thereunder, other than financial responsibility rules. (2) Pursuant to Rule 0-4 (§ 240.0-4 of this chapter), to disclose to the Comptroller of the Currency, the Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation and to the state banking authorities, information and documents deemed confidential regarding registered clearing agencies and registered transfer agents; Provided That, in matters in which the Commission has entered a formal order of investigation, such disclosure shall be made only with the concurrence of the Director of the Division of Enforcement or his or her delegate, and the General Counsel or his or her delegate. (b) With respect to the Investment Advisers Act of 1940, 15 U.S.C. 80b-1 et seq.: Pursuant to Rule 204-2(j)(3)(ii) (§ 275.204-2(j)(3)(ii) of this chapter), to make written demands upon non-resident investment advisers subject to the provisions of such rule to furnish to the Commission true, c… | ||||
| 17:17:3.0.1.1.1.1.2.42 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-7 Delegation of authority to Secretary of the Commission. | SEC | [35 FR 17989, Nov. 24, 1970. Redesignated at 37 FR 16792, Aug. 19, 1972] | Pursuant to sections 4A and 4B of the Securities Exchange Act of 1934, as amended (15 U.S.C. 78d-1, 78d-2)(15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Secretary of the Commission to be performed by the Secretary or under the Secretary's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) With respect to proceedings conducted pursuant to the Securities Act of 1933, 15 U.S.C. 77a et seq., the Securities Exchange Act of 1934, 15 U.S.C. 78a et seq., the Trust Indenture Act of 1939, 15 U.S.C. 77aaa et seq., the Investment Company Act of 1940, 15 U.S.C. 80a-1 et seq., the Investment Advisers Act of 1940, 15 U.S.C. 80b-1 et seq., the Securities Investor Protection Act of 1970, 15 U.S.C. 78aaa et seq., the provisions of Rule 102(e) of the Commission's Rules of Practice, Section 201.102(e) of this chapter, and Title I of the Sarbanes-Oxley Act of 2002, 15 U.S.C. 7211-7219; (1) To fix the time and place for hearings and oral arguments before the Commission pursuant to Rule 451 of the Commission's Rules of Practice, § 201.451 of this chapter; (2) In appropriate cases to extend and reallocate the time prescribed in Rule 451(c) of the Commission's Rules of Practice, § 201.451(c) of this chapter; (3) To postpone or adjourn hearings or otherwise adjust the date for commencement of hearings before the Commission pursuant to Rule 161 of the Commission's Rules of Practice, § 201.161 of this chapter, and to advance such hearings; (4) To grant or deny extensions of time within which to file papers with the Commission under Rule 161 of the Commission's Rules of Practice, § 201.161 of this chapter, or under part 201, subpart F of the Commission's Rules pertaining to Fair Fund and Disgorgement Plans, §§ 201.1100-201.1106; (5) To permit the filing of briefs with the Commission exceeding 14,000 words in length, pursuant to Rule 450(c) of the Commission's Rule … | ||||
| 17:17:3.0.1.1.1.1.2.43 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-8 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.1.2.44 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-9 Delegation of authority to hearing officers. | SEC | [60 FR 32794, June 23, 1995] | Pursuant to the provisions of Section 4A of the Securities Exchange Act of 1934 (15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, to each Administrative Law Judge (“Judge”) the authority: (a) To make an initial decision in any proceeding at which the Judge presides in which a hearing is required to be conducted in conformity with the Administrative Procedure Act (5 U.S.C. 557) unless such initial decision is waived by all parties who appear at the hearing and the Commission does not subsequently order that an initial decision nevertheless be made by the Judge, and in any other proceeding in which the Commission directs the Judge to make such a decision; and (b) To issue, upon entry pursuant to Rule 531 of the Commission's Rules of Practice, § 201.531 of this chapter, of an initial decision on a permanent order, a separate order setting aside, limiting or suspending any temporary sanction, as that term is defined in Rule 101(a)(11) of the Commission's Rules of Practice, § 201.101(a) of this chapter, then in effect in accordance with the terms of the initial decision. | ||||
| 17:17:3.0.1.1.1.1.2.45 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-10 Delegation of authority to Chief Administrative Law Judge. | SEC | [37 FR 23827, Nov. 9, 1972, as amended at 41 FR 21183, May 24, 1976; 43 FR 13378, Mar. 30, 1978; 54 FR 53051, Dec. 27, 1989; 60 FR 32794, June 23, 1995; 69 FR 13174, Apr. 19, 2004; 70 FR 72569, Dec. 5, 2005; 71 FR 71037, Dec. 8, 2006; 86 FR 9447, Feb. 16, 2021] | Pursuant to sections 4A and 4B of the Securities Exchange Act of 1934, as amended (15 U.S.C. 78d-1), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Chief Administrative Law Judge or to such administrative law judge or administrative law judges as may be designated by the Chief Administrative Law Judge in the Chief Administrative Law Judge's absence, or as otherwise designated by the Chairman of the Commission in the absence of the Chief Administrative Law Judge: (a) With respect to proceedings conducted before an administrative law judge, pursuant to the Securities Act of 1933, 15 U.S.C. 77a et seq., the Securities Exchange Act of 1934, 15 U.S.C. 78a et seq., the Trust Indenture Act of 1939, 15 U.S.C. 77aaa et seq., the Investment Company Act of 1940, 15 U.S.C. 80a-1 et seq., the Investment Advisers Act of 1940, 15 U.S.C. 80b-1 et seq., the Securities Investor Protection Act of 1970, 15 U.S.C. 78aaa et seq., and the provisions of Rule 102(e) of the Commission's Rules of Practice, § 201.102(e) of this chapter: (1) After a proceeding has been authorized, to fix the time and place for hearing pursuant to Rule 200 of the Commission's Rules of Practice, § 201.200 of this chapter; (2) To designate administrative law judges pursuant to Rule 110 of the Commission's Rules of Practice, § 201.110 of this chapter; (3) To postpone or adjourn hearings or otherwise adjust the date for commencement of hearings pursuant to Rule 161 of the Commission's Rules of Practice, § 201.161 of this chapter, or to advance or cancel such hearings, if necessary; (4) To grant extensions of time within which to file papers pursuant to Rule 161 of the Commission's Rules of Practice, § 201.161 of this chapter; (5) To permit the filing of briefs exceeding 14,000 words in length, pursuant to Rule 450(c) of the Commission's Rules of Practice, § 201.450(c) of this chapter; (6) In the event the designated presiding administrative law judge is unavailable … | ||||
| 17:17:3.0.1.1.1.1.2.46 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-11 Delegation of authority to the Chief Accountant. | SEC | [75 FR 47449, Aug. 6, 2010, as amended at 76 FR 2806, Jan. 18, 2011; 86 FR 9447, Feb. 16, 2021] | Pursuant to the provisions of Pub. L. 101-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Chief Accountant of the Commission, to be performed by the Chief Accountant or under the Chief Accountant's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) In connection with Commission review of inspection reports of the Public Company Accounting Oversight Board (“PCAOB”) under 15 U.S.C. 7214(h) and § 202.140: (1) To grant or deny review requests and notify the firm and the PCAOB as to whether the Commission will grant the review request under § 202.140(d); (2) To extend the time periods set forth in § 202.140(e) within which the PCAOB, registered public accounting firm or an associated person may submit responsive information and documents in connection with a request for Commission review. (3) To request additional information pursuant to § 202.140(e) relating to the PCAOB's assessments or determination under review from the PCAOB, the registered public accounting firm, or any associated person of the firm during the course of an interim review of an inspection report, and to grant the PCAOB, the firm or any associated person a period of up to seven calendar days to respond to any information obtained. (4) To consider requests for review of inspection reports and, based on such review, to not object to all or part of the assessments or determination of the PCAOB and terminate the stay of publication, or to remand to the PCAOB with instructions that the stay of publication is permanent or that the PCAOB take such other actions as the Chief Accountant deems necessary or appropriate with respect to publication, including, but not limited to, revising the final inspection report or determinations before publication, and to provide the written notice communicating the same to the PCAOB and the registered public accounting firm, … | ||||
| 17:17:3.0.1.1.1.1.2.47 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-12 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.1.2.48 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-13 Delegation of authority to Chief Financial Officer. | SEC | [68 FR 50954, Aug. 22, 2003, as amended at 76 FR 60372, Sept. 29, 2011; 79 FR 59105, Oct. 1, 2014; 86 FR 9447, Feb. 16, 2021] | Pursuant to the provisions of 15 U.S.C. 78d-1 and 78d-2, the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Chief Financial Officer, to be performed by the Chief Financial Officer or under the Chief Financial Officer's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) The compromise and collection of federal claims as required by the Federal Claims Collection Act of 1966, as amended and recodified at 31 U.S.C. 3701-3720, in conformance with standards and procedures jointly promulgated by the Secretary of the Treasury and the Attorney General of the United States in 31 CFR Parts 900-904. (b) The administration of filing fee account procedures and policies established in § 202.3a of this chapter. (c) Pursuant to section 21F(g)(4) of the Securities and Exchange Act of 1934 (15 U.S.C. 78u-6(g)(4)), the making of requests to the Secretary of the Treasury to invest the portion of the Securities and Exchange Commission Investor Protection Fund that is not, in the Secretary of the Treasury's discretion, required to meet the current needs of the fund, and the determination of the maturities for those investments suitable to the needs of the fund. | ||||
| 17:17:3.0.1.1.1.1.2.49 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-14 Delegation of authority to the General Counsel. | SEC | [47 FR 20288, May 12, 1982] | Pursuant to the provisions of Pub. L. 101-181, 101 Stat. 1254, 101 Stat. 1255, 15 U.S.C. 78d-1, 15 U.S.C. 78d-2, and 5 U.S.C. 552a(d)(2)(B)(ii), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the General Counsel of the Commission, to be performed by the General Counsel or under the General Counsel's direction by such person or persons as may be designated from time to time by the Chairman of the Commission: (a) Grant waivers of imputed disqualification requested pursuant to 17 CFR 200.735-8(d). (b) Determine whether the Commission will submit, after consultation with any Division or Office of the Commission designated by the Commission, an amicus curiae brief in private litigation on issues previously considered and designated by the Commission as appropriate for the exercise of delegated authority. A list of the issues designated by the Commission as subject to this delegated authority and, where determined by the Commission, the position to be taken on each such issue, may be obtained on request addressed to Securities and Exchange Commission, Washington, DC 20549. (c) Determine the appropriate disposition of all Freedom of Information Act and confidential treatment appeals in accordance with §§ 200.80(f) and (g)(12) and 200.83(e), (f), and (h). (d) Determine the appropriate disposition of all Privacy Act appeals and related matters in accordance with §§ 200.304 (a) and (c); 200.307 (a) and (b); 200.308(a) (4)-(10); 200.308(b) (1)-(4); and 200.309(e) (1) and (2). (e) File notices of appearance in bankruptcy reorganization cases under section 1109(a) of the Bankruptcy Code involving debtors, the securities of which are registered or required to be registered under section 12 of the Securities Exchange Act. (f) In bankruptcy cases, to take the following actions with respect to plan or settlement provisions that have the effect of releasing, exculpating, discharging, or permanently enjoining actions against non-debtor third parties… | ||||
| 17:17:3.0.1.1.1.1.2.5 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.12 Functional responsibilities. | SEC | [37 FR 23826, Nov. 9, 1972, as amended at 59 FR 5943, Feb. 9, 1994; 60 FR 14624, Mar. 20, 1995; 73 FR 32223, June 5, 2008] | This section sets forth the administrative and substantive responsibilities of the Division Directors, Office Heads, Regional Directors, and certain other Commission officers. All Commission officers and other staff members, except administrative law judges and the Inspector General, shall perform, in addition to the duties herein set forth, such additional duties as the chairman of the Commission may assign from time to time. These officers also serve as liaison with Government and other agencies concerning matters within their respective functional responsibilities. | ||||
| 17:17:3.0.1.1.1.1.2.50 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-15 Delegation of authority to Chief Operating Officer. | SEC | [60 FR 14630, Mar. 20, 1995, as amended at 86 FR 9447, Feb. 16, 2021] | Under Pub. L. 100-181, 101 Stat. 1254 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Chief Operating Officer to be performed by the Chief Operating Officer or under the Chief Operating Officer's direction by persons designated by the Chairman of the Commission: To identify and implement additional changes within the Commission that will promote the principles and standards of the National Performance Review and the strategic and quality management approaches described by the Federal Quality Institute's “Presidential Award for Quality” or its successor awards. | ||||
| 17:17:3.0.1.1.1.1.2.51 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-16 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.1.2.52 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-17 Delegation of authority to Director of Office of International Affairs. | SEC | [58 FR 52419, Oct. 8, 1993] | Pursuant to the provisions of Pub. L. 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the Office of International Affairs to be performed by the Director or under the Director's direction by such other person or persons as may be designated from time to time by the Chairman of the Commission: (a) To administer the provisions of § 240.24c-1 of this chapter; provided that access to nonpublic information as defined in such section shall be provided only with the concurrence of the head of the Commission division or office responsible for such information or the files containing such information. (b) To administer the provisions of section 24(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78x(d)). | ||||
| 17:17:3.0.1.1.1.1.2.53 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-18 Delegation of authority to Director of the Division of Examinations. | SEC | [60 FR 39644, Aug. 3, 1995, as amended at 66 FR 35842, July 9, 2001; 69 FR 41938, July 13, 2004; 73 FR 40152, July 11, 2008; 73 FR 69532, Nov. 19, 2008; 78 FR 67632, Nov. 12, 2013; 86 FR 9447, Feb. 16, 2021] | Pursuant to the provisions of Public Law 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following authority to the Director of the Division of Examinations (“Examinations”) to be performed by the Director or by such other person or persons as may be designated from time to time by the Chairman of the Commission: (a) To administer the provisions of § 240.24c-1 of this chapter; provided that access to nonpublic information as defined in such Section shall be provided only with the concurrence of the head of the Commission division or office responsible for such information or the files containing such information. (b) [Reserved] (c)(1) Pursuant to Section 17(b) of the Exchange Act (15 U.S.C. 78q(b)), prior to any examination of a registered clearing agency, registered transfer agent, or registered municipal securities dealer whose appropriate regulatory agency is not the Commission, to notify and consult with the appropriate regulatory agency for such clearing agency, transfer agent, or municipal securities dealer. (2) Pursuant to section 17(b)(1)(B) of the Exchange Act (15 U.S.C. 78q(b)(1)(B)), prior to any examination of a broker or dealer registered pursuant to section 6(g) of the Exchange Act (15 U.S.C. 78f(g)) or a national securities association registered pursuant to section 15A(k) of the Exchange Act (15 U.S.C. 78o-3(k)), to notify and consult with the Commodity Futures Trading Commission regarding the feasibility and desirability of coordinating such examination with examinations conducted by the Commodity Futures Trading Commission in order to avoid unnecessary regulatory duplication or undue regulatory burdens. (d) Pursuant to Section 17(c)(3) of the Exchange Act (15 U.S.C. 78q(c)(3)), in regard to clearing agencies, transfer agents and municipal securities dealers for which the Commission is not the appropriate regulatory agency: (1) To notify the appropriate regulatory agency of any examin… | ||||
| 17:17:3.0.1.1.1.1.2.54 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.30-19 Delegation of authority to Director of the EDGAR Business Office. | SEC | [86 FR 7967, Feb. 3, 2021] | Pursuant to the provisions of Public Law 100-181, 101 Stat. 1254, 1255 (15 U.S.C. 78d-1, 78d-2), the Securities and Exchange Commission hereby delegates, until the Commission orders otherwise, the following functions to the Director of the EDGAR Business Office, to be performed by the Director or under the Director's direction by such other person or persons as may be designated from time to time by the Chairman of the Commission: (a) With respect to the Securities Act of 1933 (15 U.S.C. 77a et seq. ), the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ), the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq. ), the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq. ) and part 232 of this chapter (Regulation S-T), to grant or deny a request submitted pursuant to § 232.13(b) of this chapter to adjust the filing date of an electronic filing, after consultation with the division or office with primary regulatory oversight for the relevant filing. (b) With respect to the Securities Act of 1933 (15 U.S.C. 77a et seq. ), the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ), the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq. ), the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq. ), and part 232 of this chapter (Regulation S-T) to set the terms of, and grant or deny as appropriate, continuing hardship exemptions pursuant to § 232.202 of this chapter from the electronic submission requirements of Regulation S-T, after consultation with the division or office with primary regulatory oversight for the relevant filing. (c) With respect to the Securities Act of 1933 (15 U.S.C. 77a et seq. ), the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq. ), the Trust Indenture Act of 1939 (15 U.S.C. 77aaa et seq. ), the Investment Company Act of 1940 (15 U.S.C. 80a-1 et seq. ), and part 232 of this chapter (Regulation S-T) to take actions pursuant to § 232.15 of this chapter to promote the reliability and integrity of submissions made through the Electronic Data Gathering, Analys… | ||||
| 17:17:3.0.1.1.1.1.2.6 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.13 Chief Operating Officer. | SEC | [60 FR 14624, Mar. 20, 1995, as amended at 76 FR 60371, Sept. 29, 2011; 86 FR 9441, Feb. 16, 2021] | (a) The Chief Operating Officer is responsible for developing and executing the overall management policies of the Commission for all its operating divisions and staff offices. The Chief Operating Officer also provides executive direction to, and exercises administrative control over, the Office of Human Resources, the Office of Acquisitions, the Office of Financial Management, the Office of Support Operations, the EDGAR Business Office, and the Office of Information Technology. (b) The Chief Operating Officer appoints personnel, reviews and approves policies and procedures, and assures appropriate resources to implement the programs set forth in paragraph (a) of this section, and authorizes and transmits reports required by them. (c) The Chief Operating Officer also designates certifying officers for agency payments. (d) The Chief Operating Officer shall be responsible for: (1) Implementing the goals of the Chairman and the mission of the Commission; (2) Providing overall organizational management to improve agency performance; (3) Assisting the Chairman in promoting ongoing quality improvement, developing strategic plans, and measuring results; (4) Directing ongoing reengineering of the Commission's administrative processes; (e) Overseeing Commission-specific application of performance measures, procurement reforms, personnel reductions, financial management improvements, telecommunications and information technology policies, and other Government-wide systems reforms; and (f) Reforming the Commission's management practices. | ||||
| 17:17:3.0.1.1.1.1.2.7 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.13a The Secretary of the Commission. | SEC | [50 FR 12239, Mar. 28, 1985, as amended at 86 FR 9441, Feb. 16, 2021] | (a) The Secretary of the Commission is responsible for the preparation of the daily and weekly agendas of Commission business; the orderly and expeditious flow of business at formal Commission meetings; the maintenance of the Official Minute record of all actions of the Commission; and the service of all instruments of formal Commission action. The Secretary is custodian of the official seal of the Commission, and also has the responsibility for authenticating documents. (b) The Secretary has been delegated responsibilities relating to the Commission's rules of practice, administrative proceedings under the Commission's statutes, and other responsibilities. (c) In addition, the Secretary administers the Commission's Library. | ||||
| 17:17:3.0.1.1.1.1.2.8 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.13b Director of the Office of Public Affairs. | SEC | [86 FR 9442, Feb. 16, 2021] | The Director of the Office of Public Affairs is the chief public information officer for the Commission, and oversees activities that communicate the Commission's actions to those interested in or affected by them. The Director's responsibilities include serving as liaison with the news media, dissemination of information to the news media and to the general public, supervision of internal and some external publications and of audio-visual presentations. Responsibilities of the Director, and of the Director's staff, include special projects that may be deemed appropriate to communicate information on Commission actions. | ||||
| 17:17:3.0.1.1.1.1.2.9 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | A | Subpart A—Organization and Program Management | § 200.14 Office of Administrative Law Judges. | SEC | [60 FR 14625, Mar. 20, 1995, as amended at 86 FR 9442, Feb. 16, 2021] | (a) Under the Administrative Procedure Act (5 U.S.C. 551-559) and the federal securities laws, the Office of Administrative Law Judges conducts hearings in proceedings instituted by the Commission. The Administrative Law Judges are responsible for the fair and orderly conduct of the proceedings and have the authority to: (1) Administer oaths and affirmations; (2) Issue subpoenas; (3) Rule on offers of proof; (4) Examine witnesses; (5) Regulate the course of a hearing; (6) Hold pre-hearing conferences; (7) Rule upon motions; and (8) Unless waived by the parties, prepare an initial decision containing the conclusions as to the factual and legal issues presented, and issue an appropriate order. (b) The Chief Administrative Law Judge performs the duties of an Administrative Law Judge under the Administrative Procedure Act and the duties delegated to the Chief Administrative Law Judge by the Commission that are compatible with those duties. The Chief Administrative Law Judge is responsible for the orderly functioning of the Office of Administrative Law Judges apart from the conduct of administrative proceedings and acts as liaison between that Office and the Commission. | ||||
| 17:17:3.0.1.1.1.10.3.1 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.500 Purpose. | SEC | [47 FR 47236, Oct. 25, 1982] | This part establishes general policies and procedures for the classification, declassification and safeguarding of national security information which is generated, processed and/or stored by the Commission, and supplements Executive Order 12356, April 6, 1982 (47 FR 14874), and Information Security Oversight Office Directive No. 1, June 25, 1982 (47 FR 27836). | ||||
| 17:17:3.0.1.1.1.10.3.10 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.509 Challenge to classification by Commission employees. | SEC | Commission employees who have reasonable cause to believe that information is classified unnecessarily, improperly, or for an inappropriate period of time, may challenge those classification decisions through mandatory review or other appropriate procedures as established by the Oversight Committee. Commission employees who challenge classification decisions may request that their identity not be disclosed. | |||||
| 17:17:3.0.1.1.1.10.3.11 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.510 Access by historical researchers. | SEC | [44 FR 65737, Nov. 15, 1979, as amended at 47 FR 47237, Oct. 25, 1982; 51 FR 5315, Feb. 13, 1986] | (a) Persons outside the executive branch performing historical research may have access to information over which the Commission has classification jurisdiction for the period requested (but not longer than 2 years unless renewed for an additional period of less than 2 years) if the Chief Operating Officer determines in writing that access to the information will be consistent with the interests of national security. (b) The person seeking access to classified information must agree in writing: (1) To be subject to a national agency check; (2) To protect the classified information in accordance with the provisions of Executive Order 12356; and (3) Not to publish or otherwise reveal to unauthorized persons any classified information. | ||||
| 17:17:3.0.1.1.1.10.3.12 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.511 Access by former Presidential appointees. | SEC | [44 FR 65737, Nov. 15, 1979, as amended at 47 FR 47237, Oct. 25, 1982; 51 FR 5315, Feb. 13, 1986] | (a) Former Commission Members appointed by the President may have access to classified information or documents over which the Commission has jurisdiction that they originated, reviewed, signed, or received while in public office, if the Chief Operating Officer determines in writing that access to the information will be consistent with the interest of nation security. (b) The person seeking access to classified information must agree in writing: (1) To be subject to a national agency check; (2) To protect the classified information in accordance with the provisions of Executive Order 12356; and (3) Not to publish or otherwise reveal to unauthorized persons any classified information. | ||||
| 17:17:3.0.1.1.1.10.3.2 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.501 Applicability. | SEC | This part applies to the handling of, and public access to, national security information and classified documents in the Commission's possession. Such documents no longer in the Commission's possession will be handled by the agency having possession, or in accordance with guidelines developed in consultation with the Archivist. | |||||
| 17:17:3.0.1.1.1.10.3.3 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.502 Definition. | SEC | [47 FR 47236, Oct. 25, 1982] | As used in this part: Foreign government information means either (a) information provided to the United States by a foreign government or governments, an international organization of governments, or any element thereof with the expectation, express or implied, that the information, the source of the information, or both, are to be held in confidence, or (b) information produced by the United States pursuant to or as a result of a joint arrangement with a foreign government or governments or an international organization of governments or any element thereof, requiring that the information, the arrangement, or both, are to be held in confidence. | ||||
| 17:17:3.0.1.1.1.10.3.4 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.503 Senior agency official. | SEC | [47 FR 47236, Oct. 25, 1982, as amended at 49 FR 12686, Mar. 30, 1984; 51 FR 5315, Feb. 13, 1986; 73 FR 32226, June 5, 2008; 76 FR 60371, 60372, Sept. 29, 2011] | The Chief Operating Officer of the Commission is designated the senior agency official responsible for conducting an oversight program to ensure effective implementation of Executive Order 12356. Any complaints or suggestions regarding the Commission's information security program should be directed to the Office of the Chief Operating Officer, Securities and Exchange Commission, Attn: Information Security Program, 100 F Street, NE., Washington, DC 20549. (a) The Deputy Chief Operating Officer is the Senior Agency Official for purposes of the Paperwork Reduction Act of 1980. In this capacity, the Deputy Chief Operating Officer will carry out all responsibilities required by the Act (Pub. L. 96-511, 3506(b)), as well as serving as Agency Clearance Officer for purposes of the publication of notices in the Federal Register. (b) [Reserved] | ||||
| 17:17:3.0.1.1.1.10.3.5 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.504 Oversight Committee. | SEC | [44 FR 65737, Nov. 15, 1979, as amended at 47 FR 47236, Oct. 25, 1982; 51 FR 5315, Feb. 13, 1986] | An Oversight Committee is established, under the chairmanship of the Chief Operating Officer, with the following responsibilities: (a) Establish a security education program to familiarize Commission and other personnel who have access to classified information with the provisions of Executive Order 12065, and encourage Commission personnel to challenge those classification decisions they believe to be improper. (b) Establish controls to insure that classified information is used, processed, stored, reproduced, and transitted only under conditions that will provide adequate protection and prevent access by unauthorized persons. (c) Establish procedures which require that a demonstrable need, under section 4-1 of Executive Order 12065, for access to classified information be established before administrative clearance procedures are initiated, as well as other appropriate procedures to prevent unnecessary access to classified information. (d) Act on all suggestions and complaints concerning Commission administration of its information security program. (e) Establish procedures within the Commission to insure the orderly and effective referral of requests for declassification of documents in the Commission's possession. (f) Review on an annual basis all practices for safeguarding information and to eliminate those practices which are duplicative or unnecessary. (g) Recommend to the Chairman of the Commission appropriate administrative action to correct abuse or violation of any provision of Executive Order 12356. (h) Consider and decide other questions concerning classification and declassification that may be brought before it. (i) Develop special contingency plans for the protection of classified information used in or near hostile or potentially hostile areas. (j) Promptly notify the Director of the Information Security Oversight Office whenever an officer or employee of the United States Government or its contractors, licensees or grantees knowingly, willfully or negligently (1) discloses to unauthori… | ||||
| 17:17:3.0.1.1.1.10.3.6 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.505 Original classification. | SEC | [44 FR 65737, Nov. 15, 1979, as amended at 51 FR 5315, Feb. 13, 1986] | (a) No Commission Member or employee has the authority to classify any information on an original basis. (b) If a Commission employee originates information that appears to require classification, the employee shall immediately notify the Secretary and protect the information accordingly. (c) If the Chief Operating Officer believes the information warrants classification, it shall be sent to an agency with original classification authority over the subject matter, or to the information Security Oversight Office, for determination. | ||||
| 17:17:3.0.1.1.1.10.3.7 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.506 Derivative classification. | SEC | [47 FR 47236, Oct. 25, 1982] | Any document that includes paraphrases, restatements, or summaries of, or incorporates in new form, information that is already classified shall be assigned the same level of classification as the source; if, however, the basic information appears to have been so changed that no classification, or a lower classification than originally assigned, should be used, the appropriate official of the originating agency or office of origin who has the authority to upgrade, downgrade or declassify the information must be consulted prior to assigning a different classification to the information. | ||||
| 17:17:3.0.1.1.1.10.3.8 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.507 Declassification dates on derivative documents. | SEC | [47 FR 47236, Oct. 25, 1982] | (a) A document that derives its classification from information classified under Executive Order 12356 of predecessor orders shall be marked with the date or event assigned to that source information for its automatic declassification or for review of its continued need for classification. (b) A derivative document that derives its classification from the approved use of the classification guide of another agency shall bear the declassification date required by the provisions of that classification guide. | ||||
| 17:17:3.0.1.1.1.10.3.9 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | J | Subpart J—Classification and Declassification of National Security Information and Material | § 200.508 Requests for mandatory review for declassification. | SEC | [44 FR 65737, Nov. 15, 1979, as amended at 47 FR 47237, Oct. 25, 1982; 51 FR 5315, Feb. 13, 1986; 73 FR 32226, June 5, 2008] | (a) Requests for mandatory review of a Commission document for declassification may be made by any United States citizen or permanent resident alien, including Commission employees, or a Federal agency, or a State or local government. The request shall be in writing and shall be sent to the Office of the Chief Operating Officer, Attn: Mandatory Review Request, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. (b) The request shall describe the material sufficiently to enable the Commission to locate it. Requests with insufficient description of the material will be returned to the requester for further information. (c) Within 5 days of receiving a request for declassification, the Commission shall acknowledge its receipt. If the document was derivatively classified by the Commission or originally classified by another agency, the request and the document shall be forwarded promptly to the agency with original classification authority together with the Commission's recommendation to withhold any of the information where appropriate. The requester shall be notified of the referral. (d) If the request requires the provision of services by the Commission, fair and equitable fees may be charged under title 5 of the Independent Offices Appropriation Act, 65 Stat. 290, 31 U.S.C. 483a. | ||||
| 17:17:3.0.1.1.1.11.3.1 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | K | Subpart K—Regulations Pertaining to the Protection of the Environment | § 200.550 Purpose. | SEC | This subpart sets forth the procedures the Commission will follow to ensure compliance with the goals of the National Environmental Policy Act ( NEPA ) and with the procedures required by NEPA in the event that the Commission should take action subject to such procedural requirements. | |||||
| 17:17:3.0.1.1.1.11.3.2 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | K | Subpart K—Regulations Pertaining to the Protection of the Environment | § 200.551 Applicability. | SEC | [76 FR 71874, Nov. 21, 2011] | In the event of extraordinary circumstances in which a Commission action may involve major Federal action significantly affecting the quality of the human environment, the Commission shall follow the procedures set forth in §§ 200.552 through 200.554 of this part, unless doing so would be inconsistent with its statutory authority under the Federal securities laws. | ||||
| 17:17:3.0.1.1.1.11.3.3 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | K | Subpart K—Regulations Pertaining to the Protection of the Environment | § 200.552 NEPA planning. | SEC | Where it is reasonably foreseeable by the Commission that it may be required to act on a matter specified in § 200.551 and that matter is likely to involve major Federal action significantly affecting the quality of the human environment, the Commission shall: (a) Advise the relevant persons as to information respecting the environment, if any, which may later be required to be submitted for Commission consideration should Commission action become necessary; (b) Consult on any environmental factors involved with individuals, organizations, and state and local authorities interested in the planned action; and (c) Begin implementing the procedures set forth in §§ 200.553 and 200.554 as soon as possible, Provided, That such procedures are not inconsistent with the Commission's authority under the Federal securities laws. | |||||
| 17:17:3.0.1.1.1.11.3.4 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | K | Subpart K—Regulations Pertaining to the Protection of the Environment | § 200.553 Draft, final and supplemental impact statements. | SEC | If the Commission determines that the requirements of section 102(2)(C) of NEPA for preparation of an environmental impact statement are applicable in connection with a proposed Commission action, it shall prepare such statement generally in accordance with the procedures specified in 40 CFR parts 1500-1508, particularly part 1502 concerning impact statement preparation and content, § 1505.1 concerning decision-making procedures, and § 1501.6 concerning the function of cooperating agencies, to the extent that such procedures do not conflict with the Commission's statutory responsibilities and authority under the Federal securities laws. | |||||
| 17:17:3.0.1.1.1.11.3.5 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | K | Subpart K—Regulations Pertaining to the Protection of the Environment | § 200.554 Public availability of information. | SEC | [44 FR 41177, July 16, 1979, as amended at 47 FR 26819, June 22, 1982; 60 FR 32795, June 23, 1995; 73 FR 32226, June 5, 2008] | (a) Any environmental assessment or impact statement, and Commission responses pertaining to formal rulemaking proceedings or adjudicatory proceedings, shall be made part of the record in any such proceedings. In the case of formal adjudicatory proceedings, this shall be done in accordance with Rule 460 of the Commission's Rules of Practice, § 201.460 of this chapter. In the case of formal rulemaking proceedings, this shall be done in accordance with the Commission's rules respecting such proceedings. (b) The location of publicly available environmental impact statements will be 100 F Street, NE., Washington, DC 20549. (c) Interested persons may obtain information regarding and status reports on specific environmental impact statements and environmental assessments by contacting the division or office within the Commission which has responsibility for the particular proposed action. | ||||
| 17:17:3.0.1.1.1.12.3.1 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | § 200.601 Purpose. | SEC | The purpose of this regulation is to effectuate section 119 of the Rehabilitation, Comprehensive Services, and Developmental Disabilities Amendments of 1978, which amended section 504 of the Rehabilitation Act of 1973 to prohibit discrimination on the basis of handicap in programs or activities conducted by Executive agencies or the United States Postal Service. | |||||
| 17:17:3.0.1.1.1.12.3.10 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | § 200.640 Employment. | SEC | No qualified individual with handicaps shall, on the basis of handicap, be subject to discrimination in employment under any program or activity conducted by the agency. The definitions, requirements, and procedures of section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791), as established by the Equal Employment Opportunity Commission in 29 CFR part 1613, shall apply to employment in federally conducted programs or activities. | |||||
| 17:17:3.0.1.1.1.12.3.11 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | §§ 200.641-200.648 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.12.3.12 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | § 200.649 Program accessibility: Discrimination prohibited. | SEC | Except as otherwise provided in § 200.650, no qualified individual with handicaps shall, because the agency's facilities are inaccessible to or unusable by individuals with handicaps, be denied the benefits of, be excluded from participation in, or otherwise be subjected to discrimination under any program or activity conducted by the agency. | |||||
| 17:17:3.0.1.1.1.12.3.13 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | § 200.650 Program accessibility: Existing facilities. | SEC | (a) General. The agency shall operate each program or activity so that the program or activity, when viewed in its entirety, is readily accessible to and usable by individuals with handicaps. This paragraph does not— (1) Necessarily require the agency to make each of its existing facilities accessible to and usable by individuals with handicaps; (2) In the case of historic preservation programs, require the agency to take any action that would result in a substantial impairment of significant historic features of an historic property; or (3) Require the agency to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and administrative burdens. In those circumstances where agency personnel believe that the proposed action would fundamentally alter the program or activity or would result in undue financial and administrative burdens, the agency has the burden of proving that compliance with § 200.650(a) would result in such alteration or burdens. The decision that compliance would result in such alteration or burdens must be made by the agency head or his or her designee after considering all agency resources available for use in the funding and operation of the conducted program or activity, and must be accompanied by a written statement of the reasons for reaching that conclusion. If an action would result in such an alteration or such burdens, the agency shall take any other action that would not result in such an alteration or such burdens but would nevertheless ensure that individuals with handicaps receive the benefits and services of the program or activity. (b) Methods —(1) General. The agency may comply with the requirements of this section through such means as redesign of equipment, reassignment of services to accessible buildings, assignment of aides to beneficiaries, home visits, delivery of services at alternate accessible sites, alteration of existing facilities and construction of new facilities, use of … | |||||
| 17:17:3.0.1.1.1.12.3.14 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | § 200.651 Program accessibility: New construction and alterations. | SEC | Each building or part of a building that is constructed or altered by, on behalf of, or for the use of the agency shall be designed, constructed, or altered so as to be readily accessible to and usable by individuals with handicaps. The definitions, requirements, and standards of the Architectural Barriers Act (42 U.S.C. 4151-4157), as established in 41 CFR 101-19.600 to 101-19.607, apply to buildings covered by this section. | |||||
| 17:17:3.0.1.1.1.12.3.15 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | §§ 200.652-200.659 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.12.3.16 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | § 200.660 Communications. | SEC | (a) The agency shall take appropriate steps to ensure effective communication with applicants, participants, personnel of other Federal entities, and members of the public. (1) The agency shall furnish appropriate auxiliary aids where necessary to afford an individual with handicaps an equal opportunity to participate in, and enjoy the benefits of, a program or activity conducted by the agency. (i) In determining what type of auxiliary aid is necessary, the agency shall give primary consideration to the requests of the individual with handicaps. (ii) The agency need not provide individually prescribed devices, readers for personal use or study, or other devices of a personal nature. (2) Where the agency communicates with applicants and beneficiaries by telephone, telecommunication devices for deaf persons (TDD's) or equally effective telecommunication systems shall be used to communicate with persons with impaired hearing. (b) The agency shall ensure that interested persons, including persons with impaired vision or hearing, can obtain information as to the existence and location of accessible services, activities, and facilities. (c) The agency shall provide signage at a primary entrance to each of its inaccessible facilities, directing users to a location at which they can obtain information about accessible facilities. The international symbol for accessibility shall be used at each primary entrance of an accessible facility. (d) This section does not require the agency to take any action that it can demonstrate would result in a fundamental alteration in the nature of a program or activity or in undue financial and administrative burdens. In those circumstances where agency personnel believe that the proposed action would fundamentally alter the program or activity or would result in undue financial and administrative burdens, the agency has the burden of proving that compliance with § 200.660 would result in such alteration or burdens. The decision that compliance would result in such alteration or bu… | |||||
| 17:17:3.0.1.1.1.12.3.17 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | §§ 200.661-200.669 [Reserved] | SEC | ||||||
| 17:17:3.0.1.1.1.12.3.18 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | § 200.670 Compliance procedures. | SEC | [53 FR 25882, 25885, July 8, 1988, as amended at 53 FR 25882, July 8, 1988; 73 FR 32226, June 5, 2008] | (a) Except as provided in paragraph (b) of this section, this section applies to all allegations of discrimination on the basis of handicap in programs and activities conducted by the agency. (b) The agency shall process complaints alleging violations of section 504 with respect to employment according to the procedures established by the Equal Employment Opportunity Commission in 29 CFR part 1613 pursuant to section 501 of the Rehabilitation Act of 1973 (29 U.S.C. 791). (c) The Equal Employment Opportunity Manager shall be responsible for coordinating implementation of this section. Complaints may be sent to the EEO Manager, 100 F Street, NE., Washington, DC 20549. (d) The agency shall accept and investigate all complete complaints for which it has jurisdiction. All complete complaints must be filed within 180 days of the alleged act of discrimination. The agency may extend this time period for good cause. (e) If the agency receives a complaint over which it does not have jurisdiction, it shall promptly notify the complainant and shall make reasonable efforts to refer the complaint to the appropriate Government entity. (f) The agency shall notify the Architectural and Transportation Barriers Compliance Board upon receipt of any complaint alleging that a building or facility that is subject to the Architectural Barriers Act of 1968, as amended (42 U.S.C. 4151-4157), is not readily accessible to and usable by individuals with handicaps. (g) Within 180 days of the receipt of a complete complaint for which it has jurisdiction, the agency shall notify the complainant of the results of the investigation in a letter containing— (1) Findings of fact and conclusions of law; (2) A description of a remedy for each violation found; and (3) A notice of the right to appeal. (h) Appeals of the findings of fact and conclusions of law or remedies must be filed by the complainant within 90 days of receipt from the agency of the letter required by § 200.670(g). The agency may extend this time for good cause. (i) Timely … | ||||
| 17:17:3.0.1.1.1.12.3.19 | 17 | Commodity and Securities Exchanges | II | 200 | PART 200—ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS | L | Subpart L—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Securities and Exchange Commission | §§ 200.671-200.699 [Reserved] | SEC |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
authority TEXT,
source_citation TEXT,
amendment_citations TEXT,
full_text TEXT
);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);