Source: http://www.law.cornell.edu/cfr/text/17/205.4
Timestamp: 2013-06-18 04:35:05
Document Index: 545857082

Matched Legal Cases: ['art 205', '§ 205', '§ 205', '§ 205', '§ 77', '§ 78', '§ 78', '§ 80', '§ 80', '§ 80', '§ 7202', '§ 7245', '§ 7262']

17 CFR 205.4 - Responsibilities of supervisory attorneys. | Title 17 - Commodity and Securities Exchanges | Code of Federal Regulations | LII / Legal Information Institute
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17 CFR 205.4 - Responsibilities of supervisory attorneys.
Responsibilities of supervisory attorneys.
An attorney supervising or directing another attorney who is appearing and practicing before the Commission in the representation of an issuer is a supervisory attorney. An issuer's chief legal officer (or the equivalent thereof) is a supervisory attorney under this section.
A supervisory attorney shall make reasonable efforts to ensure that a subordinate attorney, as defined in § 205.5(a), that he or she supervises or directs conforms to this part. To the extent a subordinate attorney appears and practices before the Commission in the representation of an issuer, that subordinate attorney's supervisory attorneys also appear and practice before the Commission.
A supervisory attorney is responsible for complying with the reporting requirements in § 205.3 when a subordinate attorney has reported to the supervisory attorney evidence of a material violation.
A supervisory attorney who has received a report of evidence of a material violation from a subordinate attorney under § 205.3 may report such evidence to the issuer's qualified legal compliance committee if the issuer has duly formed such a committee.
Title 17 published on 2012-04-01no entries appear in the Federal Register after this date. This is a list of United States Code sections, Statutes at Large, Public Laws, and Presidential Documents, which provide rulemaking authority for this CFR Part.This list is taken from the Parallel Table of Authorities and Rules provided by GPO [Government Printing Office].It is not guaranteed to be accurate or up-to-date, though we do refresh the database weekly. More limitations on accuracy are described at the GPO site.United States CodeUSC : Title 15 - COMMERCE AND TRADE§ 77s - Special powers of Commission15 USC § 78d–3 - Appearance and practice before the Commission§ 78w - Rules, regulations, and orders; annual reports15 USC § 80a–37 - Rules, regulations, and orders15 USC § 80a–38 - Procedure for issuance of rules and regulations15 USC § 80b–11 - Rules, regulations, and orders of Commission§ 7202 - Commission rules and enforcement§ 7245 - Rules of professional responsibility for attorneys§ 7262 - Management assessment of internal controls