---
kind: "unit"
title: "17"
title_heading: "Commodity and Securities Exchanges"
key: "chII/part202"
level: "part"
label: "Part 202"
heading: "Informal and Other Procedures"
release: "ecfr-current"
date: "2026-08-27"
url: "https://uscodex.org/cfr/17/chII-part202"
sections_count: 18
---

# Part 202 — Informal and Other Procedures

Title 17 C.F.R. — Commodity and Securities Exchanges › Chapter II — Securities and Exchange Commission

## Sections

- [§202.1. General.](/cfr/17/202.1.md)
- [§202.2. Pre-filing assistance and interpretative advice.](/cfr/17/202.2.md)
- [§202.3. Processing of filings.](/cfr/17/202.3.md)
- [§202.3a. Instructions for filing fees.](/cfr/17/202.3a.md)
- [§202.4. Facilitating administrative hearings.](/cfr/17/202.4.md)
- [§202.5. Enforcement activities.](/cfr/17/202.5.md)
- [§202.6. Adoption, revision, and rescission of rules and regulations of general application.](/cfr/17/202.6.md)
- [§202.7. Submittals.](/cfr/17/202.7.md)
- [§202.8. Small entity compliance guides.](/cfr/17/202.8.md)
- [§202.9. Small entity enforcement penalty reduction policy.](/cfr/17/202.9.md)
- [§202.10. Policy statement of the Securities and Exchange Commission concerning subpoenas to members of the news media.](/cfr/17/202.10.md)
- [§202.12. Policy statement concerning cooperation by individuals in its investigations and related enforcement actions.](/cfr/17/202.12.md)
- [§202.13. Informal procedure with respect to applications under the Investment Company Act of 1940.](/cfr/17/202.13.md)
- [§202.14. Policy statement concerning agency referrals for potential criminal enforcement.](/cfr/17/202.14.md)

## Contents

- [Subpart A — Public Company Accounting Oversight Board (Regulation P)](/cfr/17/chII-part202-subpartA.md)