[Code of Federal Regulations]
[Title 17, Volume 2]
[Revised as of April 1, 2001]
From the U.S. Government Printing Office via GPO Access
[CITE: 17CFR200.19a]

[Page 15-16]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
PART 200--ORGANIZATION; CONDUCT AND ETHICS; AND INFORMATION AND REQUESTS--Table of Contents
 
             Subpart A--Organization and Program Management
 
Sec. 200.19a  Director of the Division of Market Regulation.

    The Director of the Division of Market Regulation is responsible to 
the Commission for the administration and execution of the Commission's 
programs under the Securities Exchange Act of 1934 relating to the 
structure and operation of the securities markets and the prevention of 
manipulation in the securities markets. These responsibilities include 
oversight of the national market system, the national clearance and 
settlement system, and self-regulatory organizations, such as the 
national securities exchanges, registered securities associations, 
clearing agencies, the Municipal Securities Rulemaking Board, and the 
Securities Investor Protection Corporation. Duties also include the 
registration and regulation of brokers, dealers, municipal securities 
dealers, government securities brokers and dealers, transfer agents, and 
securities information processors. The functions involved in the 
regulation of such entities include reviewing proposed rule changes of 
self-regulatory organizations, recommending the adoption and amendment 
of Commission rules, responding to interpretive, exemptive, and no-
action requests, and conducting inspections, examinations, and market 
surveillance. In addition, the Director shall have the duties specified 
below:
    (a) Administration of all matters arising under the Securities 
Exchange Act of 1934 (15 U.S.C. 78a et seq.), except:
    (1) The examination and processing of applications for registration 
of securities on national securities exchanges pursuant to section 12 of 
the Act (15 U.S.C. 78l).
    (2) The examination and processing of periodic reports filed 
pursuant to sections 13 and 15(d) of the Act (15 U.S.C. 78m, 78o(d)).
    (3) The examination and processing of proxy soliciting material 
pursuant to regulations adopted under section 14 of the Act (15 U.S.C. 
78n).
    (4) The examination and processing of ownership reports filed under 
section 16(a) of the Act (15 U.S.C. 78p(a)).
    (5) The denial or suspension of registration of securities 
registered on national securities exchanges, pursuant

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to section 19(a)(2) (15 U.S.C. 78s(a)(2)) by reason of failure to comply 
with the reporting requirements of that Act.
    (6) The enforcement and related activities under the jurisdiction of 
the Division of Enforcement.

(15 U.S.C. 78d, 78d-1, 78d-2, 80a-37)

[37 FR 16792, Aug. 19, 1972, as amended at 43 FR 13376, Mar. 30, 1978; 
60 FR 14625, Mar. 20, 1995]