# 17 C.F.R. § 205.5 (2026): Responsibilities of a subordinate attorney

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_5

## Section

- **Citation:** 17 C.F.R. § 205.5 (2026)
- **Heading:** Responsibilities of a subordinate attorney
- **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 205: STANDARDS OF PROFESSIONAL CONDUCT FOR ATTORNEYS APPEARING AND PRACTICING BEFORE THE COMMISSION IN THE REPRESENTATION OF AN ISSUER / § 205.5: § 205.5   Responsibilities of a subordinate attorney.

## Text

(a) An attorney who appears and practices before the Commission in the representation of an issuer on a matter under the supervision or direction of another attorney (other than under the direct supervision or direction of the issuer's chief legal officer (or the equivalent thereof)) is a subordinate attorney.
(b) A subordinate attorney shall comply with this part notwithstanding that the subordinate attorney acted at the direction of or under the supervision of another person.
(c) A subordinate attorney complies with § 205.3 if the subordinate attorney reports to his or her supervising attorney under § 205.3(b) evidence of a material violation of which the subordinate attorney has become aware in appearing and practicing before the Commission.
(d) A subordinate attorney may take the steps permitted or required by § 205.3(b) or (c) if the subordinate attorney reasonably believes that a supervisory attorney to whom he or she has reported evidence of a material violation under § 205.3(b) has failed to comply with § 205.3.

## Nearby sections

- [17 C.F.R. § 205.1 (2026) § 205.1   Purpose and scope.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_1.md)
- [17 C.F.R. § 205.2 (2026) § 205.2   Definitions.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_2.md)
- [17 C.F.R. § 205.3 (2026) § 205.3   Issuer as client.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_3.md)
- [17 C.F.R. § 205.4 (2026) § 205.4   Responsibilities of supervisory attorneys.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_4.md)
- [17 C.F.R. § 205.5 (2026) § 205.5   Responsibilities of a subordinate attorney.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_5.md)
- [17 C.F.R. § 205.6 (2026) § 205.6   Sanctions and discipline.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_6.md)
- [17 C.F.R. § 205.7 (2026) § 205.7   No private right of action.](https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_7.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/CFR_T17_P205_S205_5. Check the current official text before relying on it. Not legal advice.