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Timestamp: 2019-09-16 23:22:15
Document Index: 65755961

Matched Legal Cases: ['arts 201', '§ 201', 'art 201', 'art 201', 'art 201', '§ 201', '§ 201', '§ 201']

Remove 295950 filter 295950
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SEC Rules of Practice, including Forms (17 CFR Parts 201 and 209)
Appendix A to SEC Rule 201.194: Note Concerning Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved In Effecting . . .
Note Concerning 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 Swap (a) Under Section 15F(b)(6) of the Securities Exchange Act of 1934 (15 U.S.C. 78o10(b)(6)), ...
A security-based swap dealer or major security-based swap participant making an application under this section should refer to Appendix A to § 201.194 -- Note Concerning Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated ...
Part 201: Rules of Practice
Part 201 -- Subpart A: [Reserved]
Part 201 -- Subpart B: Regulations Pertaining to the Equal Access to Justice Act
SEC Rule 201.31: Purpose of these rules.
The Equal Access to Justice Act, 5 U.S.C. 504 (called the Act in this subpart B), provides for the award of attorney fees and other expenses to eligible individuals and entities who are parties to certain administrative proceedings (called adversary adjudications) before the Commission. An eligible ...
SEC Rule 201.32: When the Act applies.
The Act applies to adversary adjudications described in § 201.33 pending or commenced before the Commission on or after August 5, 1985. It also applies to any adversary adjudication commenced on or after October 1, 1984, and finally disposed of before August 5, 1985, provided that an application ...
SEC Rule 201.33: Proceedings covered.
(a) The Act applies to adversary adjudications conducted by the Commission. These are on the record adjudications under 5 U.S.C. 554 in which the position of an Office or Division of the Commission as a party, not including amicus participation, is presented by an attorney or other representative ...
SEC Rule 201.34: Eligibility of applicants.
(a) To be eligible for an award of attorney fees and other expenses under the Act, the applicant must be a party to the adversary adjudication for which it seeks it seeks an award. The term party is defined in 5 U.S.C. 551(3). The applicant must show that it meets all conditions of eligibility set ...
SEC Rule 201.35: Standards for awards.
(a) A prevailing applicant may receive an award for fees and expenses incurred in connection with a proceeding or in a significant and discrete substantive portion of the proceeding, unless the position of the Office or Division over which the applicant has prevailed was substantially justified. ...
SEC Rule 201.36: Allowable fees and expenses.
(a) Subject to the limitation of paragraph (b), awards will be based on rates customarily charged, in the locale of the hearing, by persons engaged in the business of acting as attorneys, agents and expert witnesses, even if the services were made available without charge or at a reduced rate to ...
SEC Rule 201.37: Delegations of authority.
(a) The Commission may by order delegate authority to take final action on matters pertaining to the Equal Access to Justice Act in particular cases. (b) Unless the Commission shall order otherwise, applications for awards of fees and expenses made pursuant to this subject shall be assigned by the ...
SEC Rule 201.41: Contents of application.
(a) An application for an award of fees and expenses under the Act shall identify the applicant, the proceeding for which an award is sought and contain the information required in this subpart. The application shall show that the applicant has prevailed and specify the position(s) of the opposing ...
SEC Rule 201.42: Net worth exhibit.
(a) Each applicant, except a qualified tax-exempt organization or cooperative association, must provide with its application a detailed exhibit showing the net worth of the applicant and any affiliates (as defined in § 201.34(f) of this part) when the proceeding was initiated. The exhibit may be in ...
SEC Rule 201.43: Documentation of fees and expenses.
The application shall be accompanied by full documentation of the fees and expenses, including the cost of any study, analysis, engineering report, test, project or similar matter, for which an award is sought. A separate itemized statement shall be submitted for each professional firm or ...
SEC Rule 201.44: When an application may be filed.
(a) An application may be filed whenever the applicant has prevailed in the proceeding or in a significant and discrete substantive portion of the proceeding, but in no case later than 30 days after the Commission's final disposition of the proceeding. (b) For purposes of this rule, final ...
SEC Rule 201.51: Filing and service of documents.
Any application for an award or other document related to an application shall be filed and served in the same manner as other papers in proceedings under the Commission's Rules of Practice. In addition, a copy of each application for fees and expenses shall be served on the General Counsel of ...
SEC Rule 201.52: Answer to application.
(a) Within 30 days after service of an application, counsel representing the Office or Division of the Commission may file an answer to the application. Unless the Office or Division of the Commission counsel requests an extension of time for filing or files a statement of intent to negotiate under ...
SEC Rule 201.53: Reply.
Within 15 days after service of an answer, the applicant may file a reply. If the reply is based on any alleged facts not already in the record of the proceeding, the applicant shall include with the reply either supporting affidavits or a request for further proceedings under § 201.55. SEC 17 CFR ...
SEC Rule 201.54: Settlement.
The applicant and counsel for the Office or Division of the Commission may agree on a proposed settlement of the award before final action on the application, either in connection with a settlement of the underlying proceeding or after the underlying proceeding has been concluded, in accordance ...
SEC Rule 201.55: Further proceedings.
(a) Ordinarily, the determination of an award will be made on the basis of the written record. However, on request of either the applicant or counsel for the Office or Division of the Commission, or on his or her own initiative, the administrative law judge may order further proceedings, such as an ...
SEC Rule 201.56: Decision.
The administrative law judge shall issue an initial decision on the application promptly after completion of proceedings on the application. The decision shall include written findings and conclusions on the applicant's eligibility and status as a prevailing party, and an explanation of the ...
SEC Rule 201.57: Commission review.
In accordance with the procedures set forth in 17 CFR 201.410 and 201.411, either the applicant or counsel for the Office or Division of the Commission may seek review of the initial decision on the fee application, or the Commission may decide to review the decision on its own initiative. If ...
SEC Rule 201.58: Judicial review.
Judicial review of final Commission decisions on awards may be sought as provided in 5 U.S.C. 504(c)(2). SEC 17 CFR 201.58 ...