[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: 17CFR200.27]

[Page 21-22]
 
              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. 200.27  The Regional Directors.

    Each Regional Director is responsible for executing the Commission's 
programs within his geographic region as set forth below, subject to 
review by the Director of the Division of Enforcement and policy 
direction and review by the other Division Directors, the General 
Counsel, and the Chief Accountant. The Regional Directors 
responsibilities include particularly the investigation of transactions 
in securities on national securities exchanges, in the over-the-counter 
market, and in distribution to the public; the examination of members of 
national securities exchanges and registered brokers and dealers, 
transfer agents, investment advisers and investment companies including 
the examination of reports filed under Sec. 240.17a-5 of this chapter; 
the examination and processing of filings under Secs. 230.251 to 230.264 
of this chapter issued pursuant to section 3(b) of the Securities Act of 
1933; the examination and processing of filings under Sec. 239.28 of 
this chapter and any related filings under the Trust Indenture Act of 
1939; the prosecution of injunctive actions in U.S. District Courts and 
administrative proceedings before Administrative Law Judges; the 
rendering of assistance to U.S. Attorneys in criminal cases; and the 
making of the Commission's facilities more readily available to the 
public in that region. In addition, the Northeast Regional Director is 
responsible for the Commission's participation in cases under chapters 9 
and 11 of the Bankruptcy Code in the Northeast Region, excepting 
Delaware, District of Columbia, Maryland, Virginia, and West Virginia; 
the Southeast Regional Director is responsible for such participation in 
the Southeast Region, as well as Delaware, District of Columbia, 
Maryland, Virginia, and West Virginia; the Midwest Regional Director is 
responsible for such participation in the Midwest and Central Regions, 
excepting Utah;

[[Page 22]]

and the Pacific Regional Director is responsible for such participation 
in the Pacific Region and Utah.

(15 U.S.C. 77u, 78d, 78d-1; secs. 6, 7, 8, 10, 19(a), 48 Stat. 78, 79, 
81, 85; secs. 205, 209, 48 Stat. 906, 908; sec. 301, 54 Stat. 857; sec. 
8, 68 Stat. 685; sec. 1, 79 Stat. 1051; sec. 308(a)(2), 90 Stat. 57; 
secs. 13, 15(d), 23(a), 48 Stat. 894, 895, 90k; sec. 203(a), 49 Stat. 
704; secs. 3, 8, 49 Stat. 1377, 1379; secs. 4, 6, 10, 78 Stat. 569, 570-
574, 580; sec. 2, 82 Stat. 454; secs. 1, 2, 84 Stat. 1497; secs. 10, 18, 
89 Stat. 119, 155; sec. 308(b), 90 Stat. 57; (15 U.S.C. 77f, 77g, 77h, 
77j, 77s(a), 78m, 78o(d), 78w(a)); 11 U.S.C. 901, 1109(a))

[37 FR 23826, Nov. 9, 1972, as amended at 44 FR 21566, Apr. 10, 1979; 49 
FR 12685, Mar. 30, 1984; 50 FR 12240, Mar. 28, 1985; 59 FR 5943, Feb. 9, 
1994; 60 FR 14627, Mar. 20, 1995]