17 C.F.R. § 201.101

Definitions

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(a) For purposes of these Rules of Practice, unless explicitly stated to the contrary:

(1) Commission means the United States Securities and Exchange Commission, or a panel of Commissioners constituting a quorum of the Commission, or a single Commissioner acting as duty officer pursuant to 17 CFR 200.43;

(2) Counsel means any attorney representing a party or any other person representing a party pursuant to § 201.102(b);

(3) Disciplinary proceeding means an action pursuant to § 201.102(e);

(4) Enforcement proceeding means an action, initiated by an order instituting proceedings, held for the purpose of determining whether or not a person is about to violate, has violated, has caused a violation of, or has aided or abetted a violation of any statute or rule administered by the Commission, or whether to impose a sanction as defined in Section 551(10) of the Administrative Procedure Act, 5 U.S.C. 551(10);

(5) Hearing officer means an administrative law judge, a panel of Commissioners constituting less than a quorum of the Commission, an individual Commissioner, or any other person duly authorized to preside at a hearing;

(6) Interested division means a division or an office assigned primary responsibility by the Commission to participate in a particular proceeding;

(7) Order instituting proceedings means an order issued by the Commission commencing a proceeding or an order issued by the Commission to hold a hearing;

(8) Party means the interested division, any person named as a respondent in an order instituting proceedings, any applicant named in the caption of any order, persons entitled to notice in a stop order proceeding as set forth in § 201.200(a)(2) or any person seeking Commission review of a decision;

(9) Proceeding means any agency process initiated:

(i) By an order instituting proceedings; or

(ii) By the filing, pursuant to § 201.410, of a petition for review of an initial decision by a hearing officer; or

(iii) By the filing, pursuant to § 201.420, of an application for review of a self-regulatory organization determination; or

(iv) By the filing, pursuant to § 201.430, of a notice of intention to file a petition for review of a determination made pursuant to delegated authority; or

(v) By the filing, pursuant to § 201.440, of an application for review of a determination by the Public Company Accounting Oversight Board; or

(vi) By the filing, pursuant to § 242.601 of this chapter, of an application for review of an action or failure to act in connection with the implementation or operation of any effective transaction reporting plan; or

(vii) By the filing, pursuant to § 242.608 of this chapter, of an application for review of an action taken or failure to act in connection with the implementation or operation of any effective national market system plan; or

(viii) By the filing, pursuant to Section 11A(b)(5) of the Securities Exchange Act of 1934, of an application for review of a determination of a registered securities information processor;

(ix) By the filing, pursuant to § 201.442, of an application for review of a determination of a security-based swap execution facility;

(10) Secretary means the Secretary of the Commission;

(11) Temporary sanction means a temporary cease-and-desist order or a temporary suspension of the registration of a broker, dealer, municipal securities dealer, government securities broker, government securities dealer, or transfer agent pending final determination whether the registration shall be revoked; and

(12) Board means the Public Company Accounting Oversight Board.

(b) [Reserved]

[60 FR 32796, June 23, 1995, as amended at 69 FR 13175, Mar. 19, 2004; 70 FR 37617, June 29, 2005; 88 FR 87282, Dec. 15, 2023]

Notes of Decisions

Cited in 7 cases, 1996–2016 · leading case: Bandimere v. United States Sec. & Exch. Comm'n, 844 F.3d 1168 (10th Cir. 2016).

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Bandimere v. United States Sec. & Exch. Comm'n, 844 F.3d 1168 (10th Cir. 2016). · cites it 4× “” Under 17 C.F.R. § 201.101 (a)(5), a “hearing officer” includes an ALJ.”

Pierce v. Sec. & Exch. Comm'n, 786 F.3d 1027 (D.C. Cir. 2015). “See 17 C.F.R. § 201.101 (a)(4), (7). The OIP must include: (1) the nature of the proceedings, (2) the jurisdiction and legal authority supporting the action, (3) a short and plain statement of the matters of fact and law to be considered and determined, and (4) the nature of any…”

Hill v. Sec. & Exch. Comm'n, 114 F. Supp. 3d 1297 (N.D. Ga. 2015). “17 C.F.R. § 201.101 (a)(5)("(5) Hearing officer means an administrative law judge, a panel of Commissioners constituting less than a quorum of the Commission, an individual Com- ' missioner, or any other person duly authorized to preside at a hearing”).”

Ironridge Global IV, Ltd. v. Sec. & Exch. Comm'n, 146 F. Supp. 3d 1294 (N.D. Ga. 2015). “17 C.F.R. § 201.101 (a)(5)(“(5) Hearing officer means an administrative law judge, a panel of Commissioners constituting less than a quorum of the Commission, an individual Commissioner, or any other person duly authorized to preside at a hearing”).”

Home Ins. Co. of Illinois v. Spectrum Info. Tech., Inc., 930 F. Supp. 825 (E.D.N.Y 1996). “Opp’n at 25 (relying on 17 C.F.R. § 201.101 (a)(9))). The appropriate inquiry is whether the applicant plainly understood the import of the terms used on the applications.”

Gray Fin. Grp., Inc. v. Sec. & Exch. Comm'n, 166 F. Supp. 3d 1335 (N.D. Ga. 2015). “17 C.F.R. § 201.101 (a)(5)("(5) Hearing officer means an administrative law judge, a panel of Commissioners constituting less than a quorum of the Commission, an individual Commissioner, or any other person duly authorized to preside at a hearing”).”

HOME INS. CO. OF IL (NH) v. Spectrum Info. Tech., 930 F. Supp. 825 (E.D.N.Y 1996). “Opp'n at 25 (relying on 17 C.F.R. § 201.101 (a)(9))). The appropriate inquiry is whether the applicant plainly understood the import of the terms used on the applications.”

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