Skip to main content    

Company Filings

U.S. Securities and Exchange Commission

                        -  About                            -  Careers 
                          -  Commissioners 
                          -  Contact 
                          -  Reports and Publications 
                          -  Securities Laws 
                          -  Mission 
                          -  Commission Votes 
                        -  Divisions & Offices                            -  Corporation Finance 
                          -  Enforcement 
                          -  Investment Management 
                          -  Economic and Risk Analysis 
                          -  Trading and Markets 
                          -  Office of Administrative Law Judges 
                          -  Examinations 
                        -  Enforcement                            -  Litigation Releases 
                          -  Administrative Proceedings 
                          -  Opinions and Adjudicatory Orders 
                          -  Accounting and Auditing 
                          -  Trading Suspensions 
                          -  How Investigations Work 
                          -  Receiverships 
                          -  Information for Harmed Investors 
                        -  Regulation                            -  Rulemaking Activity 
                          -  Proposed Rules 
                          -  Final Rules 
                          -  Interim Final Temporary Rules 
                          -  Other Orders and Notices 
                          -  Self-Regulatory Organizations 
                          -  Staff Interpretations 
                        -  Education                            -  Investor Education 
                          -  Glossaries 
                          -  Small Business Capital Raising 
                        -  Filings                            -  EDGAR – Search & Access 
                          -  EDGAR – Information for Filers 
                          -  Company Filing Search 
                          -  How to Search EDGAR 
                          -  Forms List 
                          -  About EDGAR 
                        -  News                            -  Press Releases 
                          -  Speeches and Statements 
                          -  Securities Topics 
                          -  Upcoming Events 
                          -  Webcasts 
                          -  SEC Videos 
                          -  Media Gallery 

                -  U.S. Securities and Exchange Commission                    -  Divisions & Offices 
                  -  Enforcement 
                  -  Regulation 
                  -  Education 
                  -  Filings 
                  -  Newsroom 
                -  Newsroom                    -  Press Releases 
                  -  Testimony 
                -  RSS Feeds                    -  Press Releases 
                  -  Public Statements 
                  -  Speeches 
                  -  Testimony 
                -  About the SEC 
                -  Advisory Committees 
                -  Commissioners 
                -  Contact 
                -  Diversity and Inclusion  
                -  Division and Office Directors 
                -  Divisions and Offices 
                -  Privacy and Security 
                -  Regional Offices  
                -  Reports and Publications 
                -  SEC and Markets Data 
                -  Securities Laws 
                -  Mission 
                -  Commission Votes 

-  About the SEC 
-  Advisory Committees 
-  Commissioners 
-  Contact 
-  Diversity and Inclusion  
-  Division and Office Directors 
-  Divisions and Offices 
-  Privacy and Security 
-  Regional Offices  
-  Reports and Publications 
-  SEC and Markets Data 
-  Securities Laws 
-  Mission 
-  Commission Votes 

# Other

# Rules of Practice

                            May 12, 2017                       

## 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)

SOCIAL MEDIA1Twitter 2Facebook2Instagram3RSS4YouTube6LinkedIn8Email Updates

## About The SEC

-  Budget & Performance 
-  Careers 
-  Commission Votes 
-  Contact 
-  Contracts 
-  Data Resources 

## Transparency

-  Accessibility & Disability 
-  FOIA 
-  Inspector General 
-  No FEAR Act & EEO Data 
-  Ombuds 
-  Whistleblower Protection 

## Websites

-  Investor.gov 
-  Related Sites 
-  USA.gov 

## Site Information

-  Plain Writing 
-  Privacy & Security 
-  Site Map 

**Return to Top