17 C.F.R. § 203.1
Application of the rules of this part
The rules of this part apply only to investigations conducted by the Commission. They do not apply to adjudicative or rulemaking proceedings.
Notes of Decisions
Cited in 2
cases, 1966–1980 · leading case: Com. Capital Corp., a Corp., G.N. Van Horn & Bert Chesnut v. Sec. & Exch. Comm'n, 360 F.2d 856 (7th Cir. 1966).
Com. Capital Corp., a Corp., G.N. Van Horn & Bert Chesnut v. Sec. & Exch. Comm'n, 360 F.2d 856 (7th Cir. 1966). “The Commission has adopted a body of rules known as “Rules Relating to Investigations, 17 CFR 203.1, et seq.” Rule 6 of these rules provides: “Transcripts, if any, of formal investigative proceedings, shall be recorded solely by the official reporter, or by any other person or…”
Sec. & Exch. Comm'n v. Blackfoot Bituminous, Inc., 622 F.2d 512 (10th Cir. 1980). “17 C.F.R. § 203.1 et seq. (1979). A. Appellants’ major argument is that the SEC failed to establish a case for judicial enforcement because 17 C.”
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