# 17 CFR § 201.120: Ex parte communications

> Federal · Regulations · In force

URL: https://www.frixlaw.com/law-library/statutes/ecfr-17-201.120

## Section

- **Citation:** 17 CFR § 201.120
- **Heading:** Ex parte communications
- **Jurisdiction:** Federal
- **Kind:** Regulations
- **Status:** In force
- **Text as of:** September 22, 2026
- **Source:** Publisher's official text
- **Location:** Title 17—Commodity and Securities Exchanges > CHAPTER II—SECURITIES AND EXCHANGE COMMISSION > PART 201—RULES OF PRACTICE > Subpart D—Rules of Practice > General Rules

## Text

(a) Except to the extent required for the disposition of ex parte matters as authorized by law, the person presiding over an evidentiary hearing may not:
(1) Consult a person or party on a fact in issue, unless on notice and opportunity for all parties to participate; or
(2) Be responsible to or subject to the supervision or direction of an employee or agent engaged in the performance of investigative or prosecuting functions for the Commission.
(b) The Commission's code of behavior regarding ex parte communications between persons outside the Commission and decisional employees, 17 CFR 200.110 through 200.114, governs other prohibited communications during a proceeding conducted under the Rules of Practice.

## Nearby sections

- [17 CFR § 201.100 § 201.100 Scope of the rules of practice.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.100.md)
- [17 CFR § 201.101 § 201.101 Definitions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.101.md)
- [17 CFR § 201.102 § 201.102 Appearance and practice before the Commission.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.102.md)
- [17 CFR § 201.103 § 201.103 Construction of rules.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.103.md)
- [17 CFR § 201.104 § 201.104 Business hours.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.104.md)
- [17 CFR § 201.110 § 201.110 Presiding officer.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.110.md)
- [17 CFR § 201.111 § 201.111 Hearing officer: Authority.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.111.md)
- [17 CFR § 201.112 § 201.112 Hearing officer: Disqualification and withdrawal.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.112.md)
- [17 CFR § 201.120 § 201.120 Ex parte communications.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.120.md)
- [17 CFR § 201.121 § 201.121 Separation of functions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.121.md)
- [17 CFR § 201.140 § 201.140 Commission orders and decisions: Signature and availability.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.140.md)
- [17 CFR § 201.141 § 201.141 Orders and decisions: Service of orders instituting proceedings and other orders and decisions.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.141.md)
- [17 CFR § 201.150 § 201.150 Service of papers by parties.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.150.md)
- [17 CFR § 201.151 § 201.151 Filing of papers with the Commission: Procedure.](https://www.frixlaw.com/law-library/statutes/ecfr-17-201.151.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/ecfr-17-201.120. Check the current official text before relying on it. Not legal advice.