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        <h1 class="article-title">Rules of Practice</h1>
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                  <p class="article-publishdate">
                            May 12, 2017
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            <div class="article-body"><h2>Current Rules of Practice and Rules on Fair Funds and Disgorgement Plans</h2>

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

<h2>Current Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule Change Filings and for Proposed NMS Plans and Plan Amendments</h2>

<ul>
	<li>Current SEC Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule Change Filings and for Proposed NMS Plans and Plan Amendments (February 2021)

	<ul>
		<li>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)</li>
	</ul>
	</li>
</ul>

<h2>Previous Versions of Rules of Practice and Rules on Fair Funds and Disgorgement Plans</h2>

<ul>
	<li>Previous SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans (September 2019)

	<ul>
		<li>As amended by Release No. 34-86982: Technical Amendments to Update Cross-References to Commission’s FOIA Regulations (September 17, 2019)</li>
	</ul>
	</li>
	<li>Previous Version of SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans (April 2019)
	<ul>
		<li>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)</li>
	</ul>
	</li>
	<li>Previous Version of SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans (June 2018)
	<ul>
		<li>As amended by Release No. 34-83325: Adoption of Amendments to the Rules of Practice (May 24, 2018)</li>
	</ul>
	</li>
	<li>Previous Version of SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans (September 2016)
	<ul>
		<li>As amended by Release No. 34-78319: Adoption of Amendments to the Rules of Practice (July 13, 2016)</li>
	</ul>
	</li>
	<li>Previous Version of Rules of Practice and Rules on Fair Fund and Disgorgement Plans (January 2006; corrected March 2006)
	<ul>
		<li>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)</li>
	</ul>
	</li>
</ul>

<h2>Previous Versions of the Rules of Practice</h2>

<ul>
	<li>Previous Version of Rules of Practice (April 2004; PDF version)

	<ul>
		<li>As amended by Release No. 34-49412: Adoption of Amendments to the Rules of Practice (March 12, 2004)</li>
	</ul>
	</li>
	<li>Previous Version of Rules of Practice (July 2003) (with comments to the rules)</li>
</ul>

<h2>Previous Versions of the Rules on Fair Funds and Disgorgement Plans</h2>

<ul>
	<li>Previous Version of Rules on Fair Fund and Disgorgement Plans (April 2004)</li>
</ul>
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          Modified: Sept. 27, 2016
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