C.F.R. » Title 17 » CHAPTER II—SECURITIES AND EXCHANGE COMMISSION › PART 202—INFORMAL AND OTHER PROCEDURES

17 C.F.R. § 202.1

General

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(a) The statutes administered by the Commission provide generally (1) for the filing with it of certain statements, such as registration statements, periodic and ownership reports, and proxy solicitation material, and for the filing of certain plans of reorganization, applications and declarations seeking Commission approvals; (2) for Commission determination through formal procedures of matters initiated by private parties or by the Commission; (3) for the investigation and examination of persons and records where necessary to carry out the purposes of the statutes and for enforcement of statutory provisions; and (4) for the adoption of rules and regulations where necessary to effectuate the purposes of the statutes.

(b) In addition to the Commission's rules of practice set forth in part 201 of this chapter, the Commission has promulgated rules and regulations pursuant to the several statutes it administers (parts 230, 240, 260, 270 and 275 of this chapter). These parts contain substantive provisions and include as well numerous provisions detailing the procedure for meeting specific standards embodied in the statutes. The Commission's rules and regulations under each of the statutes are available in pamphlet form upon request to the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402.

(c) The statutes and the published rules, regulations and forms thereunder prescribe the course and method of formal procedures to be followed in Commission proceedings. These are supplemented where feasible by certain informal procedures designed to aid the public and facilitate the execution of the Commission's functions. There follows a brief description of procedures generally followed by the Commission which have not been formalized in rules.

(d) The informal procedures of the Commission are largely concerned with the rendering of advice and assistance by the Commission's staff to members of the public dealing with the Commission. While opinions expressed by members of the staff do not constitute an official expression of the Commission's views, they represent the views of persons who are continuously working with the provisions of the statute involved. And any statement by the director, associate director, assistant director, chief accountant, chief counsel, or chief financial analyst of a division can be relied upon as representing the views of that division. In certain instances an informal statement of the views of the Commission may be obtained. The staff, upon request or on its own motion, will generally present questions to the Commission which involve matters of substantial importance and where the issues are novel or highly complex, although the granting of a request for an informal statement by the Commission is entirely within its discretion.

[25 FR 6736, July 15, 1960, as amended at 76 FR 71875, Nov. 21, 2011]
Notes of Decisions
Cited in 21 cases (3 in the last 5 years), 1970–2025 · leading case: United States Sec. & Exch. Comm'n v. Collyard, 861 F.3d 760 (8th Cir. 2017).
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Ntl Ctr for Pub Plcy Rsrch v. SEC (5th Cir. 2025). · cites it 2× “; 17 C.F.R. §§ 202.1 (d), 202.2. When a company decides exclusion is called for, it may ask Commission staff for a “no-action letter.”
Ntl Ctr for Pub Plcy Rsrch v. SEC (5th Cir. 2024). · cites it 7× “” 17 C.F.R. § 202.1 (d). In this case, the National Center for Public Policy Research (Center), takes issue with such advice received by a third-party company.”
Sec. & Exch. Comm'n v. Ripple Labs Inc. (S.D.N.Y. 2022). “The SEC also points to 17 C.F.R. § 202.1 (d), which explains that “opinions expressed by members of the staff do not constitute an official expression of the Commission’s views,” but that “any statement by the director .”
Rassamni v. Fresno Auto Spa, Inc., 365 F. Supp. 3d 1039 (E.D. Cal. 2019). “" The mere presence in that disclaimer of spaces for a customer's name, signature, and the date do not render the disclaimer itself a blank form of the sort described in 17 C.F.R. § 202.1 (c). Therefore, Defendants' arguments regarding the blank form exception are not a…”
United States Sec. & Exch. Comm'n v. Collyard, 861 F.3d 760 (8th Cir. 2017). “See also 17 C.F.R. § 202.1 (d). See generally Donna M.”
Apache Corp. v. New York City Employees' Ret. Sys., 621 F. Supp. 2d 444 (S.D. Tex. 2008). “”) If the division staff agrees that the proposal is excludable, it may issue a no-action letter, stating that, based on the facts presented by the corporation, the staff will not recommend that the SEC sue the corporation for violating Rule 14a-8. See Procedures Utilized by the…”
Atl. Tele-Network v. Prosser, 151 F. Supp. 2d 633 (D.V.I. 2000). “See 17 C.F.R. § 202.1 (d). Applying even a high level of deference, however, the Court declines to invoke the purpose requirement of the Skadden and ABA letters in this case.”
Columbia Pictures Indus., Inc. v. Miramax Films Corp., 11 F. Supp. 2d 1179 (C.D. Cal. 1998). “See 17 C.F.R. § 202.1 (a) (“Words and short phrases such as names, titles, and slogans are not subject to copyright.”
William B. Blount v. Sec. & Exch. Comm'n, Mun. Sec. Rulemaking Bd., Intervenor, 61 F.3d 938 (D.C. Cir. 1995). “In short, according to the SEC, the rule restricts such gifts and contributions only when they are intended as end-runs around the direct contribution limitations.”
New York City Employees' Ret. Sys. v. Sec. & Exch. Comm'n, 45 F.3d 7 (2d Cir. 1995). “Welter, Note, The Shareholder Proposal Rule: A Change to Certainty, 60 Geo.”
Amalgamated Clothing & Textile Workers Union v. Sec. & Exch. Comm'n, Brown Grp., Inc., Intervenor, 15 F.3d 254 (2d Cir. 1994). “See 17 C.F.R. § 202.1 (d); see also Amalgamated Clothing & Textile Workers Union v.”
Amalgamated Clothing & Textile Workers Union v. Wal-Mart Stores, Inc., 821 F. Supp. 877 (S.D.N.Y. 1993). · cites it 2× “See Informal Procedures Release at 86,605-06; 17 C.F.R. § 202.1 (d). The position of the full Commission in affirming or reversing a staff determination is also informal, see 17 C.”
Show all 21 citing cases →
— 17 C.F.R. § 202.1(d) — 3 cases
Pargas, Inc. v. Empire Gas Corp., 423 F. Supp. 199 (D. Maryland 1976).
Reserve Life Ins. Co. v. Provident Life Ins. Co. Et Al., 499 F.2d 715 (8th Cir. 1974).
Reserve Life Ins. v. Provident Life Ins., 499 F.2d 715 (8th Cir. 1974).
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