17 CFR 200 to 239 primarily features the US Securities and Exchange Commission. In this volume, you will find rules, procedures, standards and regulations pertaining to conduct and ethics, rules of practice, informal and other procedures, rules relating to investigations, debt collection, electronic filings, and more.
Investment bankers, investment traders, securities brokers, financial advisor’s, personal finance analysts, economists, investment attorneys, and financial analysts may be interested in this volume. Additional students pursuing undergraduate and masters degree programs in finance and business analysis may be interested in this volume for research on updated regulations.
Code of Federal Regulations Title 17, Volume 3, April 1, 2015
Containing parts Parts 200 to 239
Part 200; ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS Part 201; RULES OF PRACTICE Part 202; INFORMAL AND OTHER PROCEDURES Part 203; RULES RELATING TO INVESTIGATIONS Part 204; RULES RELATING TO DEBT COLLECTION Part 205; STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS APPEARING AND PRACTICING BEFORE THE COMMISSION IN THE REPRESENTATION OF AN ISSUER Part 209; FORMS PRESCRIBED UNDER THE COMMISSION’S RULES OF PRACTICE Part 210; FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940, INVESTMENT ADVISERS ACT OF 1940, AND ENERGY POLICY AND CONSERVATION ACT OF 1975 Part 211; INTERPRETATIONS RELATING TO FINANCIAL REPORTING MATTERS Part 228; Reserved Part 229; STANDARD INSTRUCTIONS FOR FILING FORMS UNDER SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934 AND ENERGY POLICY AND CONSERVATION ACT OF 1975-REGULATION S-K Part 230; GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 Part 231; INTERPRETATIVE RELEASES RELATING TO THE SECURITIES ACT OF 1933 AND GENERAL RULES AND REGULATIONS THEREUNDER Part 232; REGULATION S-T-GENERAL RULES AND REGULATIONS FOR ELECTRONIC FILINGS Part 239; FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933
