17 C.F.R. § 275.0-5
The procedure hereinbelow set forth will be followed with respect to any proceeding initiated by the filing of an application, or upon the Commission's own motion, pursuant to any section of the Act or any rule or regulation thereunder, unless in the particular case a different procedure is provided:
(a)
Notice of the initiation of the proceeding will be published in the Federal Register and will indicate the earliest date upon which an order disposing of the matter may be entered. The notice will also provide that any interested person may, within the period of time specified therein, submit to the Commission in writing any facts bearing upon the desirability of a hearing on the matter and may request that a hearing be held, stating his reasons therefor and the nature of his interest in the matter.
(b)
An order disposing of the matter will be issued as of course following the expiration of the period of time referred to in
paragraph (a) of this section, unless the Commission thereafter orders a hearing on the matter.
(c)
The Commission will order a hearing on the matter, if it appears that a hearing is necessary or appropriate in the public interest or for the protection of investors, (1) upon the request of any interested person or (2) upon its own motion.
(d)
Definition of application. For purposes of this rule, an “application” means any application for an order of the Commission under the Act other than an application for registration as an investment adviser.
Notes, amendments, and revision history
Amendments
[41 FR 39020, Sept. 14, 1976, as amended at 61 FR 49962, Sept. 24, 1996]
Authority
Authority: 15 U.S.C. 80b-2(a)(11)(G), 80b-2(a)(11)(H), 80b-2(a)(17), 80b-3, 80b-4, 80b-4a, 80b-6(4), 80b-6a, 80b-11, 1681w(a)(1), 6801-6809, and 6825, unless otherwise noted. Section 275.203A-1 is also issued under 15 U.S.C. 80b-3a. Section 275.203A-2 is also issued under 15 U.S.C. 80b-3a. Section 275.203A-3 is also issued under 15 U.S.C. 80b-3a. Section 275.204-1 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376. Section 275.204-2 is also issued under 15 U.S.C. 80b-6. Section 275.205-3 is also issued under 15 U.S.C. 80b-5(e). Section 275.204-4 is also issued under sec. 407 and 408, Pub. L. 111-203, 124 Stat. 1376. Section 275.204-5 is also issued under sec. 913, Public Law 111-203, sec. 124 Stat. 1827-28 (2010).
Amendments
[41 FR 39020, Sept. 14, 1976, as amended at 61 FR 49962, Sept. 24, 1996]