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17 CFR - Code of Federal Regulations - Title 17: Commodity and Securities Exchanges
Updated to: April 01, 2011
Sections
- CHAPTER I: COMMODITY FUTURES TRADING COMMISSION
- CHAPTER II: SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
- PART 200: ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS
- PART 201: RULES OF PRACTICE
- PART 202: INFORMAL AND OTHER PROCEDURES
- PART 203: RULES RELATING TO INVESTIGATIONS
- PART 204: RULES RELATING TO DEBT COLLECTION
- PART 205: STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS APPEARING AND PRACTICING BEFORE THE COMMISSION IN THE REPRESENTATION OF AN ISSUER
- PART 209: FORMS PRESCRIBED UNDER THE COMMISSION'S RULES OF PRACTICE
- Part 210
- PART 228: INTEGRATED DISCLOSURE SYSTEM FOR SMALL BUSINESS ISSUERS
- PART 229: STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K
- PART 230: GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933
- PART 232: REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS
- PART 239: FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
- PART 240: GENERAL RULES AND REGULATIONS, SECURITIES EXCHANGE ACT OF 1934
- PART 242: REGULATIONS M, SHO, ATS, AC, AND NMS AND CUSTOMER MARGIN REQUIREMENTS FOR SECURITY FUTURES
- PART 243: REGULATION FD
- PART 244: REGULATION G
- PART 245: REGULATION BLACKOUT TRADING RESTRICTION
- PART 248: REGULATIONS S-P AND S-AM
- PART 249: FORMS, SECURITIES EXCHANGE ACT OF 1934
- Part 249B: Further forms, securities exchange act of 1934
- PART 250: GENERAL RULES AND REGULATIONS, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
- PART 256: UNIFORM SYSTEM OF ACCOUNTS FOR MUTUAL SERVICE COMPANIES AND SUBSIDIARY SERVICE COMPANIES, PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
- PART 257: PRESERVATION AND DESTRUCTION OF RECORDS OF REGISTERED PUBLIC UTILITY HOLDING COMPANIES AND OF MUTUAL AND SUBSIDIARY SERVICE COMPANIES
- PART 259: FORMS PRESCRIBED UNDER THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
- Part 260: General rules and regulations, trust indenture act of 1939
- PART 269: FORMS PRESCRIBED UNDER THE TRUST INDENTURE ACT OF 1939
- Part 270: Rules and regulations, investment company act of 1940
- PART 274: FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940
- Part 275: Rules and regulations, investment advisers act of 1940
- PART 279: FORMS PRESCRIBED UNDER THE INVESTMENT ADVISERS ACT OF 1940
- PART 285: RULES AND REGULATIONS PURSUANT TO SECTION 15(a) OF THE BRETTON WOODS AGREEMENTS ACT
- : Schedule A to Part 285
- : Schedule A to Part 285
- : Schedule A to Part 285
- : Schedule A to Part 285
- : Schedule A to Part 285
- : Schedule A to Part 285
- Part 301: Forms, securities investor protection corporation
- CHAPTER IV: DEPARTMENT OF THE TREASURY
CHAPTER II: SECURITIES AND EXCHANGE COMMISSION (CONTINUED)
PART 201: RULES OF PRACTICE
Subpart D: Rules of Practice
17 CFR 201.601 - Prompt payment of disgorge-ment, interest and penalties.
17 CFR 201.630 - Inability to pay disgorge-ment, interest or penalties.
: Rules Relating to Temporary Orders and Suspensions
: Rules Regarding Disgorgement and Penalty Payments
Subpart E: Adjustment of Civil Monetary Penalties
17 CFR Table 1 to Subpart E - Civil Monetary Penalty Inflation Adjustments
17 CFR 201.1001 - Adjustment of civil monetary penalties—1996.
Subpart F: Fair Fund and Disgorgement Plans
17 CFR 201.1002 - Adjustment of civil monetary penalties—2001.
17 CFR 201.1003 - Adjustment of civil monetary penalties—2005.
17 CFR 201.1100 - Creation of Fair Fund.
17 CFR 201.1101 - Submission of plan of distribution; contents of plan.
17 CFR 201.1102 - Provisions for payment.
17 CFR 201.1103 - Notice of proposed plan and opportunity for comment by non-parties.
17 CFR 201.1104 - Order approving, modifying, or disapproving proposed plan.
17 CFR 201.1105 - Administration of plan.
17 CFR 201.1106 - Right to challenge.
PART 202: INFORMAL AND OTHER PROCEDURES
17 CFR 202.11 - Public Company Accounting Oversight Board budget approval process.
17 CFR 202.2 - Pre-filing assistance and interpretative advice.
17 CFR 202.3 - Processing of filings.
17 CFR 202.4 - Facilitating administrative hearings.
17 CFR 202.5 - Enforcement activities.
17 CFR 202.6 - Adoption, revision, and rescission of rules and regulations of general application.
17 CFR 202.8 - Small entity compliance guides.
17 CFR 202.9 - Small entity enforcement penalty reduction policy.
17 CFR 202.3a - Instructions for filing fees.
