---
kind: "section"
citation: "17 C.F.R. § 201.350"
title: "17"
number: "201.350"
heading: "Record in proceedings before hearing officer; retention of documents; copies."
url: "https://uscodex.org/cfr/17/201.350"
---

# §201.350. Record in proceedings before hearing officer; retention of documents; copies.

- (a) **Contents of the record.** The record shall consist of:
  - (1) The order instituting proceedings, each notice of hearing and any amendments;
  - (2) Each application, motion, submission or other paper, and any amendments, motions, objections, and exceptions to or regarding them;
  - (3) Each stipulation, transcript of testimony and document or other item admitted into evidence;
  - (4) Each written communication accepted by the hearing officer pursuant to [§ 201.210](/cfr/17/201.210.md);
  - (5) With respect to a request to disqualify a hearing officer or to allow the hearing officer's withdrawal under [§ 201.112](/cfr/17/201.112.md), each affidavit or transcript of testimony taken and the decision made in connection with the request;
  - (6) All motions, briefs and other papers filed on interlocutory appeal;
  - (7) All proposed findings and conclusions;
  - (8) Each written order issued by the hearing officer or Commission; and
  - (9) **Any other document or item accepted into the record by the hearing officer.**
- (b) **Retention of documents not admitted.** Any document offered into evidence but excluded shall not be considered a part of the record. The Secretary shall retain any such document until the later of the date upon which a Commission order ending the proceeding becomes final, or the conclusion of any judicial review of the Commission's order.
- (c) **Substitution of copies.** A true copy of a document may be substituted for any document in the record or any document retained pursuant to [paragraph (b)](#b) of this section.

## Notes

### Amendments

[60 FR 32796, June 23, 1995, as amended at 69 FR 13178, Mar. 19, 2004]

### Authority

Authority: 15 U.S.C. 77f, 77g, 77h, 77h-1, 77j, 77s, 77u, 77sss, 78c(b), 78d-1, 78d-2, 78 l, 78m, 78n, 78 o (d), 78 o -3, 78 o -10(b)(6), 78s, 78u-2, 78u-3, 78v, 78w, 80a-8, 80a-9, 80a-37, 80a-38, 80a-39, 80a-40, 80a-41, 80a-44, 80b-3, 80b-9, 80b-11, 80b-12, 7202, 7215, and 7217.

### Source

Source: 60 FR 32796, June 23, 1995, unless otherwise noted.

### Authority

Authority: 15 U.S.C. 77s, 77sss, 78w, 78x, 80a-37, and 80b-11; 5 U.S.C. 504(c)(1). Sections 201.700 and 201.701 are also issued under sec. 916, Pub. L. 111-203, 124 Stat. 1376.

### Source

Source: 47 FR 610, Jan. 6, 1982, unless otherwise noted.

### Amendments

[60 FR 32796, June 23, 1995, as amended at 69 FR 13178, Mar. 19, 2004]