[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: 17CFR202.7]

[Page 199]
 
              TITLE 17--COMMODITY AND SECURITIES EXCHANGES
 
             CHAPTER II--SECURITIES AND EXCHANGE COMMISSION
 
PART 202--INFORMAL AND OTHER PROCEDURES--Table of Contents
 
Sec. 202.7  Submittals.

    (a) All required statements, reports, applications, etc. must be 
filed with the principal office of the Commission unless otherwise 
specified in the Commission's rules, schedules and forms. Reports by 
exchange members, brokers and dealers required by Sec. 240.17a-5 of this 
chapter under the Securities Exchange Act of 1934 must be filed with the 
appropriate regional or district office as provided in Sec. 230.255(a) 
of this chapter under the Securities Act of 1933, and with the principal 
office of the Commission and the appropriate regional or district office 
as provided under Sec. 240.17a-5(a) et seq. of this chapter under the 
Securities Exchange Act of 1934.
    (b) Electronic filings. All documents required to be filed in 
electronic format with the Commission pursuant to the federal securities 
laws or the rules and regulations thereunder shall be filed at the 
principal office in Washington, DC via EDGAR by delivery to the 
Commission of a magnetic tape or diskette, or by direct transmission.

[41 FR 44699, Oct. 12, 1976, as amended at 58 FR 14659, Mar. 18, 1993; 
59 FR 5945, Feb. 9, 1994]