[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: 17CFR200.20c]

[Page 17]
 
              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. 200.20c  Office of Filings and Information Services.

    The Office of Filings and Information Services is responsible for 
the receipt and initial handling of all public documents filed at the 
Commission's headquarters office. The initial handling includes 
determining acceptability, extracting data for EDP input, calculating 
fees, conducting cursory and substantive examinations, assigning filings 
to branches and preparing deficiency correspondence. In addition, the 
Office is responsible for the custody and control of the Commission's 
official records; for the development of plans and implementation of the 
Commission's records management program; for authenticating all 
documents produced for administrative or judicial proceedings; for 
maintaining liaison with the National Archives and Records Service and 
other Government agencies with respect to the Commission's records and 
its records management program. The Office provides filer-support 
services relating to the Commission's EDGAR system and the receipt of 
fees and filings for all types of filers, regardless of filing media. 
The Office also manages the Commission's public reference facilities to 
facilitate public access to electronic filings and ensure that all 
information contained in public filings with the Commission is timely 
made available to investors.

(Sec. 4(b), 48 Stat. 885, sec. 1106(a), 63 Stat. 972, 15 U.S.C. 78d(b); 
secs. 1, 2, 76 Stat. 394, 395, 15 U.S.C. 78d-1, 78d-2; secs. 19, 48 
Stat. 85, 908, 15 U.S.C. 77s; sec. 23(a), 48 Stat. 901, sec. 8, 49 Stat. 
1379, 15 U.S.C. 78w(a); sec. 20, 49 Stat. 833, 15 U.S.C. 78t; sec. 319, 
53 Stat. 1173, 15 U.S.C. 77sss; sec. 38, 54 Stat. 841, 15 U.S.C. 80a-37; 
sec. 211, 54 Stat. 855, sec. 14, 74 Stat. 888, 15 U.S.C. 80b-11; sec. 
15B, 15 U.S.C. 78o-4(a); sec. 17A, 15 U.S.C. 78q-1 (c)(2); 11 U.S.C. 
901, 1109(a))

[43 FR 13376, Mar. 30, 1978, as amended at 49 FR 12685, Mar. 30, 1984; 
60 FR 14626, Mar. 20, 1995]