C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 201—RULES OF PRACTICE › Subpart D—Rules of Practice

17 C.F.R. § 201.100

Scope of the rules of practice

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(a) Unless provided otherwise, these Rules of Practice govern proceedings before the Commission under the statutes that it administers.

(b) These rules do not apply to:

(1) Investigations, except where made specifically applicable by the Rules Relating to Investigations, part 203 of this chapter; or

(2) Actions taken by the duty officer pursuant to delegated authority under 17 CFR 200.43.

(3) Initiation of proceedings for SRO proposed rule changes under 17 CFR 201.700-701, except where made specifically applicable therein.

(c) The Commission, upon its determination that to do so would serve the interests of justice and not result in prejudice to the parties to the proceeding, may by order direct, in a particular proceeding, that an alternative procedure shall apply or that compliance with an otherwise applicable rule is unnecessary.

[60 FR 32796, June 23, 1995; 60 FR 46499, Sept. 7, 1995, as amended at 69 FR 13175, Mar. 19, 2004; 76 FR 4070, Jan. 24, 2011]
Notes of Decisions
Cited in 15 cases (7 in the last 5 years), 2013–2025 · leading case: SEC v. Jarkesy
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SEC v. Jarkesy (2024) scotus “232 (b), and the SEC's Rules of Practice govern, see 17 CFR § 201.100 et seq. The Commission or its delegee also determines the scope and form of permissible evidence and may admit hearsay and other testimony that would be inad- missible in federal court.”
Hill v. Securities & Exchange Commission (2015) gand · cites it 3× “17 C.F.R. § 201.100 (a). 2 “[A]ny evidence ‘that can conceivably throw any light upon the controversy, including hearsay, normally will be admitted in an administrative proceeding.”
Gray Financial Group, Inc. v. U.S. Securities and Exchange Commission (2016) ca11 “Instead, the SEC’s Rules of Practice, 17 C.F.R. § 201.100 et seq., govern administrative proceedings.”
SEC v. Jarkesy (2024) scotus “232 (b), and the SEC’s Rules of Practice govern, see 17 CFR §201.100 et seq. The Commission or its delegee also determines the scope and form of permissible evidence and may admit hearsay and other testimony that would be in- admissible in federal court.”
Jarkesy v. Securities & Exchange Commission (2015) cadc “17 C.F.R. §§ 201.100 et seq. The Commission presides over a proceeding, or, if the Commission so decides, an administrative law judge hears the case initially.”
Jarkesy v. United States Securities and Exchange Commission (2014) dcd “Such administrative proceedings are governed by the SEC’s “Rules of Practice,” codified at 17 C.F.R. §§ 201.100 et seq., which provide for, inter alia, procedures for summary disposition, *35 id.”
United States Securities & Exchange Commissiones v. Halek (2013) ca5 “17 C.F.R. § 201.100 (a). . See United Energy, 88 Fed.”
Ironridge Global IV, Ltd. v. Securities & Exchange Commission (2015) gand “The SEC’s Rules of Practice, 17 C.F.R. § 201.100 , et seq., provide that the SEC “shall” preside over all administrative proceedings whether by the Commissioners handling the matter themselves or delegating the case to an ALJ; there is no right to a jury trial.”
Gray Financial Group, Inc. v. Securities & Exchange Commission (2015) gand “The SEC’s Rules of Practice, 17 C.F.R. § 201.100 , et seq., provide that the SEC “shall” preside over all administrative proceedings whether by the Commissioners handling the matter themselves or delegating the case to an ALJ; there is no right to a jury trial.”
U.S Securities and Exchange Commission v. Saw (2023) nysd “78c(a)(47)) or pursuant to the Commission’s Rules of Practice, 17 CFR 201.100 through 900 or the Commission’s Rules of Fair Fund and Disgorgement Plans, 17 CFR 201.”
SEC v. Jarkesy Revisions: 6/27/24 (2024) scotus “232 (b), and the SEC’s Rules of Practice govern, see 17 CFR §201.100 et seq. The Commission or its delegee also determines the scope and form of permissible evidence and may admit hearsay and other testimony that would be in- admissible in federal court.”
SEC v. Jarkesy Revisions: 6/27/24 (2024) scotus “232 (b), and the SEC’s Rules of Practice govern, see 17 CFR §201.100 et seq. The Commission or its delegee also determines the scope and form of permissible evidence and may admit hearsay and other testimony that would be in- admissible in federal court.”
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