Rules of Practice

Current Rules of Practice and Rules on Fair Funds and Disgorgement Plans

• The official Rules of Practice are available at 17 CFR 201.100, et seq.
• Instructions for Electronic Filings in Administrative Proceedings (eFAP)

Current Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule Change Filings and for Proposed NMS Plans and Plan Amendments

• Current SEC Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule Change Filings and for Proposed NMS Plans and Plan Amendments (February 2021)
  • As amended by Release No. 34-89618: Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments (October 15, 2020)

Previous Versions of Rules of Practice and Rules on Fair Funds and Disgorgement Plans

• Previous SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans (September 2019)
  • As amended by Release No. 34-86982: Technical Amendments to Update Cross-References to Commission’s FOIA Regulations (September 17, 2019)
• Previous Version of SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans (April 2019)
  • As amended by Release No. 34-84858: Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons to Effect or be Involved in Effecting Security-Based Swaps (December 19, 2018)
• Previous Version of SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans (June 2018)
  • As amended by Release No. 34-83325: Adoption of Amendments to the Rules of Practice (May 24, 2018)
• Previous Version of SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans (September 2016)
  • As amended by Release No. 34-78319: Adoption of Amendments to the Rules of Practice (July 13, 2016)
• Previous Version of Rules of Practice and Rules on Fair Fund and Disgorgement Plans (January 2006; corrected March 2006)
  • As amended by Release No. 34-52846: Adoption of Amendments to the Rules of Practice and Related Provisions and Delegations of Authority of the Commission (November 29, 2005)

Previous Versions of the Rules of Practice

• Previous Version of Rules of Practice (April 2004; PDF version)
  • As amended by Release No. 34-49412: Adoption of Amendments to the Rules of Practice (March 12, 2004)
• Previous Version of Rules of Practice (July 2003) (with comments to the rules)

Previous Versions of the Rules on Fair Funds and Disgorgement Plans

• Previous Version of Rules on Fair Fund and Disgorgement Plans (April 2004)