# 17 C.F.R. § 201.100 (2026): Scope of the rules of practice

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_100

## Section

- **Citation:** 17 C.F.R. § 201.100 (2026)
- **Heading:** Scope of the rules of practice
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** Title 17 CFR: Commodity and Securities Exchanges / Chapter II: SECURITIES AND EXCHANGE COMMISSION / Part 201: RULES OF PRACTICE / Subpart D: Rules of Practice / § 201.100: § 201.100   Scope of the rules of practice.

## Text

(a) Unless provided otherwise, these Rules of Practice govern proceedings before the Commission under the statutes that it administers.
(b) These rules do not apply to:
(1) Investigations, except where made specifically applicable by the Rules Relating to Investigations, part 203 of this chapter; or
(2) Actions taken by the duty officer pursuant to delegated authority under 17 CFR 200.43.
(3) Initiation of proceedings for SRO proposed rule changes under 17 CFR 201.700-701, except where made specifically applicable therein.
(c) The Commission, upon its determination that to do so would serve the interests of justice and not result in prejudice to the parties to the proceeding, may by order direct, in a particular proceeding, that an alternative procedure shall apply or that compliance with an otherwise applicable rule is unnecessary.
[60 FR 32796, June 23, 1995; 60 FR 46499, Sept. 7, 1995, as amended at 69 FR 13175, Mar. 19, 2004; 76 FR 4070, Jan. 24, 2011]

## Nearby sections

- [17 C.F.R. § 201.100 (2026) § 201.100   Scope of the rules of practice.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_100.md)
- [17 C.F.R. § 201.101 (2026) § 201.101   Definitions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_101.md)
- [17 C.F.R. § 201.102 (2026) § 201.102   Appearance and practice before the Commission.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_102.md)
- [17 C.F.R. § 201.103 (2026) § 201.103   Construction of rules.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_103.md)
- [17 C.F.R. § 201.104 (2026) § 201.104   Business hours.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_104.md)
- [17 C.F.R. § 201.110 (2026) § 201.110   Presiding officer.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_110.md)
- [17 C.F.R. § 201.111 (2026) § 201.111   Hearing officer: Authority.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_111.md)
- [17 C.F.R. § 201.112 (2026) § 201.112   Hearing officer: Disqualification and withdrawal.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_112.md)
- [17 C.F.R. § 201.120 (2026) § 201.120   Ex parte communications.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_120.md)
- [17 C.F.R. § 201.121 (2026) § 201.121   Separation of functions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_121.md)
- [17 C.F.R. § 201.140 (2026) § 201.140   Commission orders and decisions: Signature and availability.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_140.md)
- [17 C.F.R. § 201.141 (2026) § 201.141   Orders and decisions: Service of orders instituting proceedings and other orders and decisions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_141.md)
- [17 C.F.R. § 201.150 (2026) § 201.150   Service of papers by parties.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_150.md)
- [17 C.F.R. § 201.151 (2026) § 201.151   Filing of papers with the Commission: Procedure.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_151.md)

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P201_S201_100. Check the current official text before relying on it. Not legal advice.