3235-0065 Sept. 30, 1988. 3235-0072 Sept. 30, 1988. 3235-0073 Sept. 30, 1988. 3235-0307 Dec. 31, 1986. 3235-0184 Sept. 30, 1987. 3235-0338 June 30, 1988. 3235-0067 Sept. 30, 1988. 3235-0336 May 31, 1988. 3235-0324 Jul. 31, 1987. 3235-0098 Nov. 30, 1986. 3235-0053 Mar. 31, 1988. 3235-0258 May 31, 1988. 3235-0257 May 31, 1988. 3235-0256 May 31, 1988. 3235-0325 Jul. 31, 1987. 3235-0292 Jan. 31, 1989. 3235-0124 Oct. 31, 1987. 3235-0329 Oct. 31, 1986. 3235-0328 Oct. 31, 1986. 3235-0327 Oct. 31, 1986. 3235-0286 Jan. 31, 1989. 3235-0286 Jan. 31, 1989. 3235-0286 Jan. 31, 1989. 3235-0286 Jan. 31, 1989. 3235-0286 Jan. 31, 1989. 3235-0286 Jan. 31, 1989. 3235-0286 Jan. 31, 1989. 3235-0093 Mar. 31, 1987. 13e-4. Regulation 14A. 101. §§ 240.14a-1 through 240.14a 3235-0059 Sept. 30, 1988. B, C, D. Form 1-G § 239.101. Rule 14f-1. Rule 15a § 240.14d100. § 240.14d101. §§ 240.14e-1 through 240.14e-2. § 240.141-1.... § 240.15a4(a). 4(a). Rule 15Aa-1.. § 240.15Aa 3235-0108 Dec. 31, 1987 3235-0010 Aug. 31, 1986. 3235-0030 Sept. 30, 1987. Rule 15Aj-1.... § 240.15Aj-1.. 3235-0044 Rule 15b1-1... § 240.15b1-1. 3235-0012 Rule 15b1-2... § 240.15b1-2.. 3235-0020 Sept. 30, 1987 May 31, 1988. Aug. 31, 1986. 3235-0102 Jan. 31, 1987. 3235-0102 Jan. 31, 1987. 3235-0102 Jan. 31, 1987. Form 26. $249.26. $249.103. $ 249.104. $249.208a... 3235-0022 Sept. 30, 1988. 3235-0080 Oct. 31, 1987. 3235-0079 Oct. 31, 1987. 3235-0248 Nov. 30, 1987. 3235-0249 Nov. 30, 1987. 11. 11. Rule 15c3-1... § 240.15c3-1.. 3235-0200 Rule 15c3-3... § 240.15c3-3.. 3235-0078 Rule 15c1-7... § 240.15c1-7.. 3235-0134 Rule 17a-1..... § 240.17a-1.... 3235-0208 Rule 17a-2..... § 240.17a-2.... 3235-0201 Rule 17a-3.... § 240.17a-3.... 3235-0033 Rule 17a-4..... § 240.17a-4.... 3235-0279 Rule 17a-5..... § 240.17a-5.... 3235-0123 Rule 17a5(c).. § 240.17a5(c). 3235-0199 Rule 17a-7.... $ 240.17a-7.... 3235-0131 Rule 17a-8..... § 240.17a-8.... 3235-0092 Rule 17a-10... § 240.17a-10.. 3235-0122 Rule 17a-11... § 240.17a-11.. 3235-0085 Rule 17a-13... § 240.17a-13.. 3235-0035 Rule 17a-19... § 240.17a-19.. 3235-0133 Rule 17a-22... § 240.17a-22.. 3235-0196 Rule 17Ab2- § 240.17Ab2-3235-0195 Apr. 30, 1987. $ 240.17Ac2-3235-0084 June 30, 1988. 1 (a) and (c). § 240.17Ac3-3235-0151 Rule 17Ad-6.. § 240.17Ad Form 3. $249.208b... $249.210. $249.218. § 249.220f. § 249.306. § 249.308. § 249.308a... § 249.310. $249.310c.. § 249.311. Form 18-K. § 249.318. Form 12b-25.. § 249.322.. Form 12g-4/249.323. 15d-6. Form 13F.. $249.325. 3235-0121 May 31, 1988. 3235-0288 May 31, 1987. 3235-0116 May 31, 1988. 3235-0060 Oct. 31, 1987. 3235-0070 Sept. 30, 1988. 3235-0063 Feb. 28, 1989. 3235-0191 Nov. 30, 1987. 3235-0082 Mar. 31, 1987. 3235-0120 May 31, 1988. 3235-0058 Mar. 31, 1988. 3235-0167 Nov. 30, 1986. 3235-0006 Jan. 31, 1988. 3235-0330 Mar. 31, 1988. 3235-0327 Oct. 31, 1986. 3235-0329 Oct. 31, 1986. 3235-0328 Oct. 31, 1986. 3235-0141 Mar. 31, 1987. 3235-0012 May 31, 1988. 3235-0018 Aug. 31, 1986. 3235-0123 May 31, 1987. Oct. 31, 1987. § 249.444. $249.445. 1. Form ID § 240.Ad2 3235-0130 Oct. 31, 1987. (c), (d) and (h). § 240.17Ad4 3235-0341 Jan. 31, 1989. Form 8 Form BD Form BDW Form X § 249.446. § 249.460. § 249.501. § 249.501a... § 249.617.. (b) and (c). 15AJ-2. § 240.17f1(b). § 240.17f1(c). § 240.1711(g). § 240.17f2(a). 3235-0032 Nov. 30, 1988. 3235-0037 Nov. 30, 1988. 3235-0290 Feb. 28, 1986. Form 19b-4.... § 249.819.. Form SIP § 249.1001.... Form MSD. $249.1100... Form MSDW.. § 249.1110... Form X-17f- $249.1200...... 1A. 3235-0045 Sept. 30, 1987. 3235-0043 Sept. 30, 1987. 3235-0083 Sept. 30, 1988. 3235-0087 Oct. 31, 1987. 3235-0037 Nov. 30, 1988. 3235-0034 Oct. 31, 1988. Form TA-1 $249b.100... Form TA-W.... § 249b.101... 93-048 0-87--5 § 249b.102...... 3235-0337 Form TA-2... Form CA-1 Rule 1(a). § 250.1(a).. June 30, 1988. 3235-0195 Nov. 30, 1987. 3235-0170 Sept. 30, 1988. 3235-0170 Sept. 30, 1988. 3235-0164 Nov. 30, 1986. 3235-0161 Sept. 30, 1988. 3235-0160 Sept. 30, 1988. 3235-0165 Sept. 30, 1988. 3235-0165 Sept. 30, 1988. 3235-0125 Sept. 30, 1988. 3235-0163 Sept. 30, 1988. 3235-0126 Sept. 30, 1988. 3235-0183 Sept. 30, 1988. 3235-0149 Sept. 30, 1988. 3235-0149 Sept. 30, 1988. 3235-0171 Sept. 30, 1988. 3235-0147 Sept. 30, 1988. 3235-0154 Sept. 30, 1988. 3235-0163 Sept. 30, 1988. 3235-0156 Sept. 30, 1988. 3235-0153 Sept. 30, 1988. 3235-0173 Sept. 30, 1988. 3235-0161 Sept. 30, 1988. 3235-0160 Sept. 30, 1988. 3235-0165 Sept. 30, 1988. 3235-0110 Dec. 31, 1987. Form ID Rule 6c-6.... 1(b). Sept. 30, 1988. $270.24f-2..... 3235-0159 Form ET $274.401. Form ID § 274.402. Form SE § 274.403. Rule 0-2 $275.0-2. 201.5 201.6 201.7 3235-0329 Oct. 31, 1986. 3235-0328 Oct. 31, 1986. 3235-0327 Oct. 31, 1986. 3235-0240 Jan. 31, 1989. Form N-54A... § 275.53. 3235-0237 Jan. 31, 1988. Form N-54C... § 275.54. 3235-0236 Jan. 31, 1988. Rule 203-1..... § 275.203-1.... 3235-0049 June 30, 1988. Rule 203-2.... § 275.203-2.... 3235-0313 June 30, 1988. Rule 204-1. § 275.204-1.... 3235-0048 June 30, 1988. Rule 204.2...... § 275.204.2..... 3235-0278 Nov. 30, 1986. Rule 204-3..... § 275.204-3... 3235-0047 Jan. 31, 1989. Rule 206(3)- § 275.206(3)-3235-0243 June 30, 1986: 2. Rule 206(4) 2. 2. (44 U.S.C. 3507(f); secs. 6, 7, 8, 10, 19(a), 48 Stat. 78, 79, 81, 85; secs. 205, 209, 48 Stat. 906, 908; sec. 301, 54 Stat. 857; sec. 8, 68 Stat. 685; sec. 308(a)(2), 90 Stat. 57; secs. 3(b), 12, 13, 14, 15(d), 23(a), 48 Stat. 882, 892, 894, 895, 901; secs. 203(a), 1, 3, 8, 49 Stat. 704, 1375, 1377, 1379; sec. 202, 68 Stat. 686; secs. 4, 5, 6(d), 78 Stat. 569, 570-574; secs. 1, 2, 3, 82 Stat. 454, 455; secs. 28(c), 1, 2, 3, 4, 5, 84 Stat. 1435, 1497; sec. 105(b), 88 Stat. 1503; secs. 8, 9, 10, 89 Stat. 117, 118, 119; sec. 308(b), 90 Stat 57; sec. 18, 89 Stat. 155; secs. 202, 203, 204, 91 Stat. 1494, 1498-1500; sec. 20(a), 49 Stat. 833; sec. 319, 53 Stat. 1173; sec. 38, 54 Stat. 841; 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 78c(b), 781, 78m, 78n, 780(d), 78w(a), 79t(a), 77sss(a), 80a-37) [47 FR 4982, Feb. 3, 1982, as amended at 47 FR 11401, Mar. 16, 1982; 47 FR 54766, Dec. 6, 1982; 47 FR 56834, Dec. 21, 1982; 48 FR 12347, Mar. 24, 1983; 48 FR 13160, Mar. 30, 1983; 49 FR 10927, Mar. 23, 1984; 49 FR 16765, Apr. 20, 1984; 51 FR 9769, Mar. 21, 1986] Subpart A-Rules of Practice 201.1 Scope of rules of practice. 201.2 Appearance and practice before the Commission. 201.3 [Reserved] 201.4 Issuance, amendment and repeal of rules of general application. Business hours. Notice of proceedings and hearings. 201.8 Settlements, agreements, and confer 201.11 Hearings for the purpose of taking evidence; motions and applications to hearing officer. 201.11-1 Production of witnesses' statements. 201.12 Interlocutory review; motions and applications to Commission. 201.13 Extension of time and adjourn ments. 201.14 Evidence. 201.15 Depositions and interrogatories. 201.16 Proposed findings and conclusions; initial decision. 201.17 Review by the Commission of initial decisions by hearing officers. § 201.1 Scope of rules of practice. These rules of practice are generally applicable to proceedings before the Commission under the statutes which it administers, particularly those which involve a hearing or opportunity for hearing before the Commission or its duly designated officer. Rule 201.27 applies to cases pursuant to the Securities Exchange Act of 1934 of adjudication not required to be determined on the record after notice and opportunity for hearing. In connection with any particular matter, reference should also be made to any special requirements of procedure and practice that may be contained in the particular statute involved or the rules and forms adopted by the Commission thereunder, which special requirements are controlling. These rules do not apply to investigations, except where made specifically applicable by the Rules Relating to Investigations (Part 203 of this chapter). [40 FR 42186, Sept. 11, 1975] § 201.2 Appearance and practice before the Commission. 1 1 (a) By non-lawyers. An individual may appear in his own behalf, a member of a partnership may represent the partnership, a bona fide officer of a corporation, trust or association may represent the corporation, trust or association, and an officer or employee of a State commission or of a department or political subdivision of a State may represent the State commission or the department or political subdivision of the State, in any proceeding. (b) By lawyers. A person may be represented in any proceeding by an attorney at law admitted to practice before the Supreme Court of the United States, or the highest court of any State or Territory of the United States, or the Court of Appeals or the District Court of the United States for the District of Columbia. (c) Representation only as specified. A person shall not be represented at any hearing before the Commission or a hearing officer except as stated in paragraphs (a) and (b) of this section or except as otherwise permitted by the Commission. (d) Notice of appearance; designation for service; power of attorney. When an individual appears in his own behalf before the Commission or a hearing officer in a particular proceeding which involves a hearing or an opportunity for hearing, he shall file with the Commission or otherwise state on the record an address at which any notice or other written communication required to be served upon him or furnished to him may be sent. When an attorney appears before the Commission or a hearing officer in a representative capacity in a particular proceeding which involves a hearing or an opportunity for hear 'Additional restrictions upon practice by former employees of the Commission are contained in Rule 6 of the Commission's Conduct Regulation (§ 200.735-8 of this chapter). |