17 C.F.R. § 200.1

General statement and statutory authority

Read at: eCFRecfr.gov CornellLII GovInfogovinfo.gov CasesGoogle Scholar

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.

(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 violations of the Acts.

[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]

Notes of Decisions

Cited in 6 cases (1 in the last 5 years), 1983–2022 · leading case: Bandimere v. United States Sec. & Exch. Comm'n, 844 F.3d 1168 (10th Cir. 2016).

Sort: Relevance Newest Treatment

Bandimere v. United States Sec. & Exch. Comm'n, 844 F.3d 1168 (10th Cir. 2016). · cites it 2× “In addition, the Securities and Exchange Act of 1934 authorizes the SEC to delegate “any of its functions” with the exception of rulemaking to ALJs,13 and 17 C.F.R. § 200.14 , a regulation promulgated under the Act, gives the agency’s “Office of Administrative Law Judges” power…”

Conboy v. at & T Corp., 84 F. Supp. 2d 492 (S.D.N.Y. 2000). “17 (b) (same); 17 C.F.R. § 200.1 (j) (providing for private rights of action).”

Parr v. Superior Court, 139 Cal. App. 3d 440 (Cal. Ct. App. 1983). “We note that a person such as petitioner is guaranteed the right to a panel of arbitrators a majority of whom must not be from the securities industry; the right peremptorily to challenge one of the arbitrators; the right to a hearing and to present evidence; the right to…”

Thomas v. Perry, 200 Cal. App. 3d 510 (Cal. Ct. App. 1988). “383 ]; 17 C.F.R. § 200.1 (d).) Without some basis for doing so, we are reluctant to find unconscionable procedures which have been approved by the SEC.”

Phonetel Tech., Inc. v. Network Enhanced Telecom, 197 F. Supp. 2d 720 (E.D. Tex. 2002). “17 (b) (same); 17 C.F.R. § 200.1 (j) (providing for private rights of action).”

Wong v. Restoration Robotics (Cal. Ct. App. 2022). “” ( 17 C.F.R. § 200.1 (a).) Even if the FFP were procedurally unconscionable, it is not substantively unconscionable.”

Annotations are extracted automatically from the opinions in the Syfert caselaw corpus and ranked by authority, recency, and treatment. Dots show Syfertize treatment of the citing case itself.