17 CFR Part 202 - INFORMAL AND OTHER PROCEDURES
- § 202.1 General.
- § 202.2 Pre-filing assistance and interpretative advice.
- § 202.3 Processing of filings.
- § 202.3a Instructions for filing fees.
- § 202.4 Facilitating administrative hearings.
- § 202.5 Enforcement activities.
- § 202.6 Adoption, revision, and rescission of rules and regulations of general application.
- § 202.7 Submittals.
- § 202.8 Small entity compliance guides.
- § 202.9 Small entity enforcement penalty reduction policy.
- § 202.10 Policy statement of the Securities and Exchange Commission concerning subpoenas to members of the news media.
- § 202.12 Policy statement concerning cooperation by individuals in its investigations and related enforcement actions.
- § 202.13 Informal procedure with respect to applications under the Investment Company Act of 1940.
- Subpart A—Public Company Accounting Oversight Board (Regulation P) (§§ 202.140 - 202.190)
Authority:
15 U.S.C. 77s, 77t, 77sss, 77uuu, 78d-1, 78u, 78w, 78ll(d), 80a-37, 80a-41, 80b-9, 80b-11, 7201 et seq., unless otherwise noted.
Section 202.9 is also issued under sec. 223, 110 Stat. 859 (Mar. 29, 1996).
Source:
25 FR 6736, July 15, 1960, unless otherwise noted.