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ONITED STATES OF AMERI
On June 30, 1960, the SECURITIES AND EXCHANGE COMMISSION adopted a revision of its RULES OF PRACTICE in the interest of providing for more efficient and expeditious conduct of and disposition of administrative proceedings before the Commission. The revision was designed largely to clarify existing procedures, restate the rules in more logical sequences, eliminate obsolete and redundant provisions, and generally improve the administrative process.
On June 30, 1964, various rules were adopted and others were amended relating to initial decisions by hearing officers and to default procedures, effective as to all proceedings instituted on or after August 1, 1964. In addition various other rules have been adopted or amended since the general revision in 1960.
See page 19 for Table I, showing Derivation of Revised Rules in Relation to Former Rules, and Table II, showing Location in Revised Rules of Provisions of Former Rules.
On March 12, 1964, as announced in Securities Act of 1933 Release No. 4677, the SECURITIES AND EXCHANGE COMMISSION adopted its RULES RELATING TO INVESTIGATIONS, effective April 1, 1964, and made conforming amendments in its Rules of Practice. The Rules Relating to Investigations are designed to clarify existing procedures, incorporate certain established Commission policies and adopt certain recommendations of the Administrative Conference of the United States.
On April 26, 1963, as announced in Securities Act Release No. 4600, the SECURITIES AND EXCHANGE COMMISSION adopted its CODE OF BEHAVIOR GOVERNING EX PARTE COMMUNICATIONS BETWEEN PERSONS OUTSIDE THE COMMISSION AND DECISIONAL EMPLOYEES, effective June 1, 1963, and made conforming amendments to its Canons of Ethics. The Code of Behavior Governing Ex Parte Communications, adopted pursuant to a recommendation of the Administrative Conference of the United States, is designed to prohibit certain ex parte communications to any member of the Commission and certain members of the Commission's staff with respect to "on the record” administrative proceedings.
See page 24 for Table III, showing Derivation of Rules Relating to Investigations in Relation to Former Rules of Practice, and Table IV, showing Location in Rules Relating to Investigations of Provisions of Former Rules of Practice.
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RULES OF PRACTICE
(Cite as 17 CFR 201)
16, 17, 19.
10, 11, 13